Amar K. Goel - 31 May 2024 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
CHAIRMAN, CHIEF INNOVATION OFF, Director
Signature
/s/ Andrew Woods, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
31 May 2024
Net transactions value
$0
Form type
4
Filing time
04 Jun 2024, 18:33:40 UTC
Previous filing
30 May 2024
Next filing
02 Jul 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 +2,150 $0.000000 2,150 31 May 2024 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Gift $0 -2,150 -100% $0.000000* 0 04 Jun 2024 By Birchwood Trust F2
holding PUBM Class A Common Stock 2,640 31 May 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 -2,150 -0.17% $0.000000 1,231,585 31 May 2024 Class A Common Stock 2,150 By Birchwood Trust F1, F2
holding PUBM Class B Common Stock 755,584 31 May 2024 Class A Common Stock 755,584 By Tuscan Irrevocable Trust F1, F3
holding PUBM Class B Common Stock 755,314 31 May 2024 Class A Common Stock 755,314 By Marais Irrevocable Trust F1, F4
holding PUBM Class B Common Stock 524,162 31 May 2024 Class A Common Stock 524,162 By RAJN Trust-A F1, F5
holding PUBM Class B Common Stock 524,247 31 May 2024 Class A Common Stock 524,247 By RAJN Trust-N F1, F6
holding PUBM Class B Common Stock 443,414 31 May 2024 Class A Common Stock 443,414 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.