Rajeev K. Goel - 23 Nov 2022 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Andrew Woods, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
23 Nov 2022
Net transactions value
$0
Form type
4
Filing time
28 Nov 2022, 20:14:48 UTC
Previous filing
06 Oct 2022
Next filing
21 Mar 2024
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 Conversion of derivative security $0 +15,000 $0.000000 15,000 23 Nov 2022 See footnote F1
transaction PUBM Class A Common Stock Gift $0 -15,000 -100% $0.000000* 0 23 Nov 2022 See footnote F1
holding PUBM Class A Common Stock 11,037 23 Nov 2022 Direct F2

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 -15,000 -2.8% $0.000000 516,284 23 Nov 2022 Class A Common Stock 15,000 See footnote F1, F3
holding PUBM Class B Common Stock 581,260 23 Nov 2022 Class A Common Stock 581,260 See footnote F3, F4
holding PUBM Class B Common Stock 400,000 23 Nov 2022 Class A Common Stock 400,000 See footnote F3, F5
holding PUBM Class B Common Stock 68,616 23 Nov 2022 Class A Common Stock 68,616 See footnote F3, F6
holding PUBM Class B Common Stock 308,775 23 Nov 2022 Class A Common Stock 308,775 See footnote F3, F7
holding PUBM Class B Common Stock 308,775 23 Nov 2022 Class A Common Stock 308,775 See footnote F3, F7
holding PUBM Class B Common Stock 210,984 23 Nov 2022 Class A Common Stock 219,984 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries.
F2 Form 4 filed on October 6, 2022 inadvertently reported the sale of 5,771 shares of Class A Common Stock on October 4, 2022, rather than 5,571 shares. The Reporting Person directly owns 11,037 shares of Class A Common Stock after giving effect to the transactions reported in Form 4 filed on October 6, 2022.
F3 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.
F4 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.
F5 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.
F6 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.
F7 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.