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

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Andrew Woods, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Nov 23, 2022
Transactions value $
$0
Form type
4
Date filed
11/28/2022, 08:14 PM
Previous filing
Oct 6, 2022
Next filing
Mar 21, 2024

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 +15K $0.00 15K Nov 23, 2022 See footnote F1
transaction PUBM Class A Common Stock Gift $0 -15K -100% $0.00* 0 Nov 23, 2022 See footnote F1
holding PUBM Class A Common Stock 11K Nov 23, 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 -15K -2.82% $0.00 516K Nov 23, 2022 Class A Common Stock 15K See footnote F1, F3
holding PUBM Class B Common Stock 581K Nov 23, 2022 Class A Common Stock 581K See footnote F3, F4
holding PUBM Class B Common Stock 400K Nov 23, 2022 Class A Common Stock 400K See footnote F3, F5
holding PUBM Class B Common Stock 68.6K Nov 23, 2022 Class A Common Stock 68.6K See footnote F3, F6
holding PUBM Class B Common Stock 309K Nov 23, 2022 Class A Common Stock 309K See footnote F3, F7
holding PUBM Class B Common Stock 309K Nov 23, 2022 Class A Common Stock 309K See footnote F3, F7
holding PUBM Class B Common Stock 211K Nov 23, 2022 Class A Common Stock 220K 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.