Amar K. Goel - Jul 31, 2023 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chairman, Chief Innovation Off, Director
Signature
/s/ Andrew Woods, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Jul 31, 2023
Transactions value $
-$307,661
Form type
4
Date filed
8/2/2023, 09:03 PM
Previous filing
Jul 7, 2023
Next filing
Oct 3, 2023

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 +2.94K $0.00 2.94K Jul 31, 2023 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$58.7K -2.94K -100% $20.00 0 Jul 31, 2023 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2.97K $0.00 2.97K Jul 31, 2023 By Marais Irrevocable Trust F3
transaction PUBM Class A Common Stock Sale -$59.3K -2.97K -100% $20.00 0 Jul 31, 2023 By Marais Irrevocable Trust F3, F4
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Jul 31, 2023 By Tuscan Irrevocable Trust F5
transaction PUBM Class A Common Stock Sale -$60K -3K -100% $20.00 0 Jul 31, 2023 By Tuscan Irrevocable Trust F5, F6
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Jul 31, 2023 By RAJN Trust - A F7
transaction PUBM Class A Common Stock Sale -$60K -3K -100% $20.00 0 Jul 31, 2023 By RAJN Trust - A F7, F8
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2.98K $0.00 2.98K Jul 31, 2023 By RAJN Trust - N F9
transaction PUBM Class A Common Stock Sale -$59.6K -2.98K -100% $20.00 0 Jul 31, 2023 By RAJN Trust - N F9, F10, F11
transaction PUBM Class A Common Stock Conversion of derivative security $0 +100 $0.00 100 Aug 1, 2023 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$2K -100 -100% $20.00 0 Aug 1, 2023 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +100 $0.00 100 Aug 1, 2023 By Marais Irrevocable Trust F3
transaction PUBM Class A Common Stock Sale -$2K -100 -100% $20.00 0 Aug 1, 2023 By Marais Irrevocable Trust F3, F4
transaction PUBM Class A Common Stock Conversion of derivative security $0 +100 $0.00 100 Aug 1, 2023 By Tuscan Irrevocable Trust F5
transaction PUBM Class A Common Stock Sale -$2K -100 -100% $20.00 0 Aug 1, 2023 By Tuscan Irrevocable Trust F5, F6
transaction PUBM Class A Common Stock Conversion of derivative security $0 +100 $0.00 100 Aug 1, 2023 By RAJN Trust - A F7
transaction PUBM Class A Common Stock Sale -$2K -100 -100% $20.00 0 Aug 1, 2023 By RAJN Trust - A F7, F8
transaction PUBM Class A Common Stock Conversion of derivative security $0 +100 $0.00 100 Aug 1, 2023 By RAJN Trust - N F9
transaction PUBM Class A Common Stock Sale -$2K -100 -100% $20.00 0 Aug 1, 2023 By RAJN Trust - N F9, F10

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 -2.94K -0.23% $0.00 1.27M Jul 31, 2023 Class A Common Stock 2.94K By Birchwood Trust F1, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2.97K -0.37% $0.00 788K Jul 31, 2023 Class A Common Stock 2.97K By Marais Irrevocable Trust F3, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.38% $0.00 788K Jul 31, 2023 Class A Common Stock 3K By Tuscan Irrevocable Trust F5, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.54% $0.00 557K Jul 31, 2023 Class A Common Stock 3K By RAJN Trust-A F7, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2.98K -0.53% $0.00 557K Jul 31, 2023 Class A Common Stock 2.98K By RAJN Trust-N F9, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -100 -0.01% $0.00 1.27M Aug 1, 2023 Class A Common Stock 100 By Birchwood Trust F1, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -100 -0.01% $0.00 788K Aug 1, 2023 Class A Common Stock 100 By Marais Irrevocable Trust F3, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -100 -0.01% $0.00 788K Aug 1, 2023 Class A Common Stock 100 By Tuscan Irrevocable Trust F5, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -100 -0.02% $0.00 557K Aug 1, 2023 Class A Common Stock 100 By RAJN Trust-A Trust F7, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -100 -0.02% $0.00 557K Aug 1, 2023 Class A Common Stock 100 By RAJN Trust-N F9, F12
holding PUBM Class B Common Stock 443K Jul 31, 2023 Class A Common Stock 443K See footnote F12, F13
* 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 on December 1, 2022.
F3 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.
F4 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust on December 1, 2022.
F5 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F6 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust on December 1, 2022.
F7 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.
F8 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A on December 1, 2022.
F9 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.
F10 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
F11 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.015 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.
F12 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.
F13 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.