Amar K. Goel - Oct 17, 2022 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Signature
/s/ Andrew Woods, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Oct 17, 2022
Transactions value $
-$1,412,214
Form type
4
Date filed
10/19/2022, 09:44 PM
Previous filing
Oct 6, 2022
Next filing
Nov 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 17, 2022 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$141K -8K -100% $17.61 0 Oct 17, 2022 By Birchwood Trust F1, F2, F3
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 17, 2022 By Marais Irrevocable Trust F4
transaction PUBM Class A Common Stock Sale -$141K -8K -100% $17.61 0 Oct 17, 2022 By Marais Irrevocable Trust F3, F4, F5
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 17, 2022 By Tuscan Irrevocable Trust F6
transaction PUBM Class A Common Stock Sale -$141K -8K -100% $17.61 0 Oct 17, 2022 By Tuscan Irrevocable Trust F3, F6, F7
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 17, 2022 By RAJN Trust - A F8
transaction PUBM Class A Common Stock Sale -$141K -8K -100% $17.61 0 Oct 17, 2022 By RAJN Trust - A F8, F9, F10
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K +266.67% $0.00 11K Oct 17, 2022 By RAJN Trust - N F11
transaction PUBM Class A Common Stock Sale -$141K -8K -72.73% $17.61 3K Oct 17, 2022 By RAJN Trust - N F11, F12, F13
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 18, 2022 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$142K -8K -100% $17.70 0 Oct 18, 2022 By Birchwood Trust F1, F2, F14
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 18, 2022 By Marais Irrevocable Trust F4
transaction PUBM Class A Common Stock Sale -$142K -8K -100% $17.69 0 Oct 18, 2022 By Marais Irrevocable Trust F4, F5, F15
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 18, 2022 By Tuscan Irrevocable Trust F6
transaction PUBM Class A Common Stock Sale -$142K -8K -100% $17.69 0 Oct 18, 2022 By Tuscan Irrevocable Trust F6, F7, F14
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Oct 18, 2022 By RAJN Trust - A F8
transaction PUBM Class A Common Stock Sale -$142K -8K -100% $17.69 0 Oct 18, 2022 By RAJN Trust - A F8, F9, F14
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K +266.67% $0.00 11K Oct 18, 2022 By RAJN Trust - N F11, F16
transaction PUBM Class A Common Stock Sale -$142K -8K -72.73% $17.69 3K Oct 18, 2022 By RAJN Trust - N F11, F12, F14, F16

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 Class B Common Stock Conversion of derivative security $0 -8K -0.61% $0.00 1.3M Oct 17, 2022 Class A Common Stock 8K By Birchwood Trust F1, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.97% $0.00 815K Oct 17, 2022 Class A Common Stock 8K By Marais Irrevocable Trust F4, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.97% $0.00 815K Oct 17, 2022 Class A Common Stock 8K By Tuscan Irrevocable Trust F6, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -1.35% $0.00 584K Oct 17, 2022 Class A Common Stock 8K By RAJN Trust-A Trust F8, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -1.36% $0.00 581K Oct 17, 2022 Class A Common Stock 8K By RAJN Trust-N F11, F16, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.62% $0.00 1.29M Oct 18, 2022 Class A Common Stock 8K By Birchwood Trust F1, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.98% $0.00 807K Oct 18, 2022 Class A Common Stock 8K By Marais Irrevocable Trust F4, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.98% $0.00 807K Oct 18, 2022 Class A Common Stock 8K By Tuscan Irrevocable Trust F6, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -1.37% $0.00 576K Oct 18, 2022 Class A Common Stock 8K By RAJN Trust-A Trust F8, F17
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -1.38% $0.00 573K Oct 18, 2022 Class A Common Stock 8K By RAJN Trust-N F11, F16, F17
holding PUBM Class B Common Stock 443K Oct 17, 2022 Class A Common Stock 443K See footnote F17, F18
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust.
F3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.81 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. 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.
F5 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
F6 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F7 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
F8 These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. 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 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
F10 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.84 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F11 These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. 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.
F12 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
F13 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.82 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F14 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.34 to $18.33 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F15 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.35 to $18.08 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F16 3,000 shares of Class A Common Stock held by RAJN Trust - N were inadvertently reported in Forms 4 filed between May 17, 2022 and October 6, 2022 as shares of Class B Common Stock.
F17 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.
F18 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.

Remarks:

Exhibit 24 - Power of Attorney