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

Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Nov 18, 2021
Transactions value $
-$883,683
Form type
4
Date filed
12/14/2021, 08:46 PM
Previous filing
Nov 12, 2021
Next filing
Jan 4, 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 +3.2K $0.00 3.2K Nov 18, 2021 By Birchwood Trust F1
transaction PUBM Class A Common Stock Gift $0 -3.2K -100% $0.00* 0 Nov 18, 2021 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Dec 13, 2021 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$139K -3.87K -48.38% $35.93 4.13K Dec 13, 2021 By Birchwood Trust F1, F3, F4
transaction PUBM Class A Common Stock Sale -$55.4K -1.5K -36.32% $36.93 2.63K Dec 13, 2021 By Birchwood Trust F1, F3, F5
transaction PUBM Class A Common Stock Sale -$92.3K -2.43K -92.4% $37.97 200 Dec 13, 2021 By Birchwood Trust F1, F3, F6
transaction PUBM Class A Common Stock Sale -$7.73K -200 -100% $38.63 0 Dec 13, 2021 By Birchwood Trust F1, F3, F7
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Dec 13, 2021 By Tuscan Irrevocable Trust F8
transaction PUBM Class A Common Stock Sale -$93.5K -2.6K -52% $35.98 2.4K Dec 13, 2021 By Tuscan Irrevocable Trust F8, F9, F10
transaction PUBM Class A Common Stock Sale -$41K -1.1K -45.83% $37.28 1.3K Dec 13, 2021 By Tuscan Irrevocable Trust F8, F9, F11
transaction PUBM Class A Common Stock Sale -$49.6K -1.3K -100% $38.17 0 Dec 13, 2021 By Tuscan Irrevocable Trust F8, F9, F12
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Dec 13, 2021 By Marais Irrevocable Trust F13
transaction PUBM Class A Common Stock Sale -$93.5K -2.6K -52% $35.95 2.4K Dec 13, 2021 By Marais Irrevocable Trust F13, F14, F15
transaction PUBM Class A Common Stock Sale -$41K -1.1K -45.83% $37.28 1.3K Dec 13, 2021 By Marais Irrevocable Trust F13, F14, F16
transaction PUBM Class A Common Stock Sale -$49.6K -1.3K -100% $38.17 0 Dec 13, 2021 By Marais Irrevocable Trust F13, F14, F17
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Dec 13, 2021 By RAJN Trust - A F18
transaction PUBM Class A Common Stock Sale -$54K -1.5K -50% $35.97 1.5K Dec 13, 2021 By RAJN Trust - A F18, F19, F20
transaction PUBM Class A Common Stock Sale -$37.4K -1K -66.67% $37.37 500 Dec 13, 2021 By RAJN Trust - A F18, F19, F21
transaction PUBM Class A Common Stock Sale -$19.2K -500 -100% $38.31 0 Dec 13, 2021 By RAJN Trust - A F18, F19, F22
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Dec 13, 2021 By RAJN Trust - N F23
transaction PUBM Class A Common Stock Sale -$53.9K -1.5K -50% $35.96 1.5K Dec 13, 2021 By RAJN Trust - N F23, F24, F25
transaction PUBM Class A Common Stock Sale -$37.4K -1K -66.67% $37.40 500 Dec 13, 2021 By RAJN Trust - N F23, F24, F26
transaction PUBM Class A Common Stock Sale -$19.2K -500 -100% $38.30 0 Dec 13, 2021 By RAJN Trust - N F23, F24, F27

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 -3.2K -0.23% $0.00 1.4M Nov 18, 2021 Class A Common Stock 3.2K By Birchwood Trust F1, F28
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.57% $0.00 1.39M Dec 13, 2021 Class A Common Stock 8K By Birchwood Trust F1, F28
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.56% $0.00 890K Dec 13, 2021 Class A Common Stock 5K By Tuscan Irrevocable Trust F8, F28
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.56% $0.00 890K Dec 13, 2021 Class A Common Stock 5K By Marais Irrevocable Trust F13, F28
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.46% $0.00 645K Dec 13, 2021 Class A Common Stock 3K By RAJN Trust - A F18, F28
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.46% $0.00 645K Dec 13, 2021 Class A Common Stock 3K By RAJN Trust - N F23, F28
* 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 Reflects the gift of common stock to a charitable donor advised fund and an individual on November 18, 2021.
F3 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.53 to $36.37, 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 $36.58 to $37.56, 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 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.58 to $38.55, 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 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.59 to $38.67, 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 7 to this Form 4.
F8 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F9 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
F10 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.61 to $36.47, 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 10 to this Form 4.
F11 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.72 to $37.70, 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 11 to this Form 4.
F12 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.76 to $38.58, 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 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.
F14 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
F15 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.61 to $36.45, 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 $36.75 to $37.67, 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 $37.76 to $38.58, 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-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.
F19 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
F20 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.58 to $36.35, 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 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 $36.80 to $37.77, 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 21 to this Form 4.
F22 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.90 to $38.59, 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 22 to this Form 4.
F23 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.
F24 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
F25 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.58 to $36.35, 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 25 to this Form 4.
F26 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.81 to $37.77, 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 26 to this Form 4.
F27 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.88 to $38.59, 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 27 to this Form 4.
F28 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.