Steven Pantelick - Nov 4, 2024 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ Andrew Woods, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Nov 4, 2024
Transactions value $
-$57,801
Form type
4
Date filed
11/6/2024, 05:07 PM
Previous filing
Oct 7, 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 +4K +17.77% $0.00 26.5K Nov 4, 2024 Direct F1
transaction PUBM Class A Common Stock Sale -$57.8K -4K -15.09% $14.45 22.5K Nov 4, 2024 Direct F2, F3

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 -4K -1.2% $0.00 329K Nov 4, 2024 Class A Common Stock 4K Direct F1
holding PUBM Class B Common Stock 73.5K Nov 4, 2024 Class A Common Stock 73.5K By spouse F1
holding PUBM Class B Common Stock 41.5K Nov 4, 2024 Class A Common Stock 41.5K By PSLT DE LLC F1, F4
holding PUBM Class B Common Stock 115K Nov 4, 2024 Class A Common Stock 115K By SMP DE LLC F1, F5
* 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 The sales reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 9, 2024.
F3 The price reported in this line item is a weighted average price. These shares were sold at prices ranging from $14.33 to $14.63, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder 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 herein.
F4 The Reporting Person and his children are beneficiaries of PSLT DE LLC.
F5 The Reporting Person's spouse and his children are beneficiaries of SMP DE LLC.