Amar K. Goel - 18 Oct 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chief Innovation Officer, Director, 10%+ Owner
Signature
/s/ Thomas Chow, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
18 Oct 2021
Net transactions value
-$102,210
Form type
4
Filing time
20 Oct 2021, 16:07:12 UTC
Previous filing
04 Oct 2021
Next filing
22 Oct 2021
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 +2,300 $0.000000 2,300 18 Oct 2021 By Tuscan Irrevocable Trust F1
transaction PUBM Class A Common Stock Sale $69,000 -2,300 -100% $30.00 0 18 Oct 2021 By Tuscan Irrevocable Trust F1, F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +407 $0.000000 407 18 Oct 2021 By Marais Irrevocable Trust F3
transaction PUBM Class A Common Stock Sale $12,210 -407 -100% $30.00 0 18 Oct 2021 By Marais Irrevocable Trust F3, F4
transaction PUBM Class A Common Stock Conversion of derivative security $0 +700 $0.000000 700 18 Oct 2021 By RAJN Trust - A F5
transaction PUBM Class A Common Stock Sale $21,000 -700 -100% $30.00 0 18 Oct 2021 By RAJN Trust - A F5, F6

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 -2,300 -0.23% $0.000000 987,700 18 Oct 2021 Class A Common Stock 2,300 By Tuscan Irrevocable Trust F1, F7
transaction PUBM Class B Common Stock Conversion of derivative security $0 -407 -0.04% $0.000000 989,593 18 Oct 2021 Class A Common Stock 407 By Marais Irrevocable Trust F3, F7
transaction PUBM Class B Common Stock Conversion of derivative security $0 -700 -0.11% $0.000000 655,952 18 Oct 2021 Class A Common Stock 700 By RAJN Trust - A F3, F5, F7
* 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 Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F2 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
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 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
F7 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.