Amar K. Goel - Nov 8, 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Nov 8, 2021
Transactions value $
-$1,288,650
Form type
4
Date filed
11/10/2021, 03:26 PM
Previous filing
Oct 22, 2021
Next filing
Nov 12, 2021

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 +8.68K $0.00 8.68K Nov 8, 2021 By Marais Irrevocable Trust F1
transaction PUBM Class A Common Stock Sale -$260K -8.68K -100% $30.01 0 Nov 8, 2021 By Marais Irrevocable Trust F1, F2, F3
transaction PUBM Class A Common Stock Conversion of derivative security $0 +6.7K $0.00 6.7K Nov 8, 2021 By Tuscan Irrevocable Trust F4
transaction PUBM Class A Common Stock Sale -$201K -6.7K -100% $30.01 0 Nov 8, 2021 By Tuscan Irrevocable Trust F4, F5, F6
transaction PUBM Class A Common Stock Conversion of derivative security $0 +13.8K $0.00 13.8K Nov 8, 2021 By Birchwood Trust F7
transaction PUBM Class A Common Stock Sale -$413K -13.8K -100% $30.01 0 Nov 8, 2021 By Birchwood Trust F7, F8, F9
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2.4K $0.00 2.4K Nov 8, 2021 By RAJN Trust - A F10
transaction PUBM Class A Common Stock Sale -$72K -2.4K -100% $30.00 0 Nov 8, 2021 By RAJN Trust - A F10, F11, F12
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2.2K $0.00 2.2K Nov 8, 2021 By RAJN Trust - N F13
transaction PUBM Class A Common Stock Sale -$66K -2.2K -100% $30.00 0 Nov 8, 2021 By RAJN Trust - N F13, F14, F15
transaction PUBM Class A Common Stock Conversion of derivative security $0 +1.2K $0.00 1.2K Nov 9, 2021 By Marais Irrevocable Trust F1
transaction PUBM Class A Common Stock Sale -$36.8K -1.2K -100% $30.63 0 Nov 9, 2021 By Marais Irrevocable Trust F1, F2, F16
transaction PUBM Class A Common Stock Conversion of derivative security $0 +1.5K $0.00 1.5K Nov 9, 2021 By Tuscan Irrevocable Trust F4
transaction PUBM Class A Common Stock Sale -$46K -1.5K -100% $30.65 0 Nov 9, 2021 By Tuscan Irrevocable Trust F4, F5, F17
transaction PUBM Class A Common Stock Conversion of derivative security $0 +6.33K $0.00 6.33K Nov 9, 2021 By Birchwood Trust F7
transaction PUBM Class A Common Stock Sale -$193K -6.33K -100% $30.51 0 Nov 9, 2021 By Birchwood Trust F7, F8, F18

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 -8.68K -0.88% $0.00 976K Nov 8, 2021 Class A Common Stock 8.68K By Marais Irrevocable Trust F1, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -6.7K -0.68% $0.00 977K Nov 8, 2021 Class A Common Stock 6.7K By Tuscan Irrevocable Trust F4, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -13.8K -0.96% $0.00 1.42M Nov 8, 2021 Class A Common Stock 13.8K By Birchwood Trust F7, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2.4K -0.37% $0.00 651K Nov 8, 2021 Class A Common Stock 2.4K By RAJN Trust - A F10, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2.2K -0.34% $0.00 651K Nov 8, 2021 Class A Common Stock 2.2K By RAJN Trust - N F13, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -1.2K -0.12% $0.00 975K Nov 9, 2021 Class A Common Stock 1.2K By Marais Irrevocable Trust F1, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -1.5K -0.15% $0.00 975K Nov 8, 2021 Class A Common Stock 1.5K By Tuscan Irrevocable Trust F4, F19
transaction PUBM Class B Common Stock Conversion of derivative security $0 -6.33K -0.45% $0.00 1.41M Nov 9, 2021 Class A Common Stock 6.33K By Birchwood Trust F7, F19
* 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 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.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.15, 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 3 to this Form 4.
F4 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F5 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.16, 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 6 to this Form 4.
F7 These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F8 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.08, 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 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.
F11 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
F12 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.03, 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 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.
F14 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
F15 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.03, 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 15 to this Form 4.
F16 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $30.77, 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 $30.45 to $30.77, 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 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.77, 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 18 to this Form 4.
F19 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.