Amar K. Goel - Aug 12, 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Aug 12, 2021
Transactions value $
-$704,181
Form type
4
Date filed
8/16/2021, 06:02 PM
Previous filing
Jul 2, 2021
Next filing
Sep 21, 2022

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 +8K $0.00 8K Aug 12, 2021 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$140K -4.45K -55.6% $31.56 3.55K Aug 12, 2021 By Birchwood Trust F1, F2, F3
transaction PUBM Class A Common Stock Sale -$109K -3.35K -94.37% $32.50 200 Aug 12, 2021 By Birchwood Trust F1, F2, F4
transaction PUBM Class A Common Stock Sale -$6.66K -200 -100% $33.32 0 Aug 12, 2021 By Birchwood Trust F1, F2, F5
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Aug 12, 2021 By Marais Irrevocable Trust F6
transaction PUBM Class A Common Stock Sale -$92.2K -2.92K -58.42% $31.57 2.08K Aug 12, 2021 By Marais Irrevocable Trust F6, F7, F8
transaction PUBM Class A Common Stock Sale -$61.1K -1.88K -90.38% $32.50 200 Aug 12, 2021 By Marais Irrevocable Trust F6, F7, F9
transaction PUBM Class A Common Stock Sale -$6.67K -200 -100% $33.35 0 Aug 12, 2021 By Marais Irrevocable Trust F6, F7
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Aug 12, 2021 By Tuscan Irrevocable Trust F10
transaction PUBM Class A Common Stock Sale -$89.8K -2.84K -56.88% $31.56 2.16K Aug 12, 2021 By Tuscan Irrevocable Trust F10, F11, F12
transaction PUBM Class A Common Stock Sale -$63.6K -1.96K -90.72% $32.50 200 Aug 12, 2021 By Tuscan Irrevocable Trust F10, F11, F13
transaction PUBM Class A Common Stock Sale -$6.67K -200 -100% $33.35 0 Aug 12, 2021 By Tuscan Irrevocable Trust F10, F11
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2K $0.00 2K Aug 12, 2021 By RAJN Trust - A F14
transaction PUBM Class A Common Stock Sale -$30.7K -975 -48.75% $31.52 1.03K Aug 12, 2021 By RAJN Trust - A F14, F15, F16
transaction PUBM Class A Common Stock Sale -$30.1K -925 -90.24% $32.49 100 Aug 12, 2021 By RAJN Trust - A F14, F15, F17
transaction PUBM Class A Common Stock Sale -$3.34K -100 -100% $33.35 0 Aug 12, 2021 By RAJN Trust - A F14, F15
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2K $0.00 2K Aug 12, 2021 By RAJN Trust - N F18
transaction PUBM Class A Common Stock Sale -$38K -1.2K -60% $31.66 800 Aug 12, 2021 By RAJN Trust - N F18, F19, F20
transaction PUBM Class A Common Stock Sale -$26.1K -800 -100% $32.67 0 Aug 12, 2021 By RAJN Trust - N F18, F19, F21

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 -8K -0.55% $0.00 1.43M Aug 12, 2021 Class A Common Stock 8K By Birchwood Trust F1, F22
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.5% $0.00 990K Aug 12, 2021 Class A Common Stock 5K By Marais Irrevocable Trust F6, F22
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.5% $0.00 990K Aug 12, 2021 Class A Common Stock 5K By Tuscan Irrevocable Trust F10, F22
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2K -0.3% $0.00 657K Aug 12, 2021 Class A Common Stock 2K By RAJN Trust - A F14, F22
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2K -0.3% $0.00 657K Aug 12, 2021 Class A Common Stock 2K By RAJN Trust - N F18, F22
* 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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust on March 4, 2021.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.14 to $32.10, 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 in this footnote 3 to this Form 4.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.14 to $32.90, 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 in this footnote 4 to this Form 4.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.28 to $33.35, 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 in this footnote 5 to this Form 4.
F6 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.
F7 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust on March 4, 2021.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.13 to $32.10, 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 in this footnote 8 to this Form 4.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.89, 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 in this footnote 9 to this Form 4.
F10 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F11 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust on March 4, 2021.
F12 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.13 to $32.10, 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 in this footnote 12 to this Form 4.
F13 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.84, 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 in this footnote 13 to this Form 4.
F14 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.
F15 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A on March 4, 2021.
F16 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $31.92, 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 in this footnote 16 to this Form 4.
F17 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.15 to $32.75, 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 in this footnote 17 to this Form 4.
F18 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.
F19 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N on March 4, 2021.
F20 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.16 to $32.15, 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 in this footnote 20 to this Form 4.
F21 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.36 to $33.35, 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 in this footnote 21 to this Form 4.
F22 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.