Amar K. Goel - May 31, 2024 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
May 31, 2024
Transactions value $
$0
Form type
4
Date filed
6/4/2024, 06:33 PM
Previous filing
May 30, 2024
Next filing
Jul 2, 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 +2.15K $0.00 2.15K May 31, 2024 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Gift $0 -2.15K -100% $0.00* 0 Jun 4, 2024 By Birchwood Trust F2
holding PUBM Class A Common Stock 2.64K May 31, 2024 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 Class B Common Stock Conversion of derivative security $0 -2.15K -0.17% $0.00 1.23M May 31, 2024 Class A Common Stock 2.15K By Birchwood Trust F1, F2
holding PUBM Class B Common Stock 756K May 31, 2024 Class A Common Stock 756K By Tuscan Irrevocable Trust F1, F3
holding PUBM Class B Common Stock 755K May 31, 2024 Class A Common Stock 755K By Marais Irrevocable Trust F1, F4
holding PUBM Class B Common Stock 524K May 31, 2024 Class A Common Stock 524K By RAJN Trust-A F1, F5
holding PUBM Class B Common Stock 524K May 31, 2024 Class A Common Stock 524K By RAJN Trust-N F1, F6
holding PUBM Class B Common Stock 443K May 31, 2024 Class A Common Stock 443K See footnote F1, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 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.
F2 These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F3 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
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 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.
F6 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.
F7 These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.