Rajeev K. Goel - 01 Oct 2022 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Thomas Chow, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
01 Oct 2022
Net transactions value
$0
Form type
4
Filing time
04 Oct 2022, 21:46:08 UTC
Previous filing
11 Aug 2022
Next filing
06 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Options Exercise $0 +11,237 +209% $0.000000 16,608 01 Oct 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PUBM Restricted Stock Unit Options Exercise $0 -11,237 -7.1% $0.000000 146,074 01 Oct 2022 Class A Common Stock 11,237 $0.000000 Direct F1, F2, F3
holding PUBM Class B Common Stock 531,284 01 Oct 2022 Class A Common Stock 531,284 See footnote F4, F5
holding PUBM Class B Common Stock 581,260 01 Oct 2022 Class A Common Stock 581,260 See footnote F4, F6
holding PUBM Class B Common Stock 400,000 01 Oct 2022 Class A Common Stock 400,000 See footnote F4, F7
holding PUBM Class B Common Stock 68,616 01 Oct 2022 Class A Common Stock 68,616 See footnote F4, F8
holding PUBM Class B Common Stock 308,775 01 Oct 2022 Class A Common Stock 308,775 See footnote F4, F9
holding PUBM Class B Common Stock 308,775 01 Oct 2022 Class A Common Stock 308,775 See footnote F4, F9
holding PUBM Class B Common Stock 210,984 01 Oct 2022 Class A Common Stock 210,984 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's Class A Common Stock at the time of vesting for no consideration.
F2 The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F3 RSUs do not expire; they either vest or are canceled prior to the vesting date.
F4 Each share of Class B common stock held by the Issuer's executive officers, directors and their respective affiliates will convert automatically into one share of Class A common stock upon any transfer, except for certain permitted transfers.
F5 These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries.
F6 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.
F7 These securities are held by The Goel Heritage Trust, of which the Reporting Person's children are beneficiaries. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F8 These securities are held by The Goel Family Gift Trust, of which family members and certain other individuals are beneficiaries. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F9 These securities are held by a trust for the benefit of the Reporting Person's child. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.