Amar K. Goel - Jan 12, 2022 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Jan 12, 2022
Transactions value $
-$674,798
Form type
4
Date filed
1/13/2022, 07:25 PM
Previous filing
Jan 4, 2022
Next filing
Feb 7, 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 Jan 12, 2022 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$202K -7.2K -90% $28.06 800 Jan 12, 2022 By Birchwood Trust F1, F2, F3
transaction PUBM Class A Common Stock Sale -$22.9K -800 -100% $28.65 0 Jan 12, 2022 By Birchwood Trust F1, F2, F4
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Jan 12, 2022 By Marais Irrevocable Trust F5
transaction PUBM Class A Common Stock Sale -$121K -4.3K -86% $28.03 700 Jan 12, 2022 By Marais Irrevocable Trust F5, F6, F7
transaction PUBM Class A Common Stock Sale -$20K -700 -100% $28.61 0 Jan 12, 2022 By Marais Irrevocable Trust F5, F6, F8
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Jan 12, 2022 By Tuscan Irrevocable Trust F9
transaction PUBM Class A Common Stock Sale -$126K -4.5K -90% $28.05 500 Jan 12, 2022 By Tuscan Irrevocable Trust F9, F10, F11
transaction PUBM Class A Common Stock Sale -$14.3K -500 -100% $28.61 0 Jan 12, 2022 By Tuscan Irrevocable Trust F9, F10, F12
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Jan 12, 2022 By RAJN Trust - A F13
transaction PUBM Class A Common Stock Sale -$72.9K -2.6K -86.67% $28.03 400 Jan 12, 2022 By RAJN Trust - A F13, F14, F15
transaction PUBM Class A Common Stock Sale -$11.5K -400 -100% $28.73 0 Jan 12, 2022 By RAJN Trust - A F13, F14, F16
transaction PUBM Class A Common Stock Conversion of derivative security $0 +3K $0.00 3K Jan 12, 2022 By RAJN Trust - N F17
transaction PUBM Class A Common Stock Sale -$75.8K -2.7K -90% $28.06 300 Jan 12, 2022 By RAJN Trust - N F17, F18, F19
transaction PUBM Class A Common Stock Sale -$8.63K -300 -100% $28.76 0 Jan 12, 2022 By RAJN Trust - N F17, F18, F20

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 -0.57% $0.00 1.38M Jan 12, 2022 Class A Common Stock 8K By Birchwood Trust F1, F21
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.56% $0.00 885K Jan 12, 2022 Class A Common Stock 5K By Marais Irrevocable Trust F5, F21
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.56% $0.00 885K Jan 12, 2022 Class A Common Stock 5K By Tuscan Irrevocable Trust F9, F21
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.47% $0.00 642K Jan 12, 2022 Class A Common Stock 3K By RAJN Trust - A F13, F21
transaction PUBM Class B Common Stock Conversion of derivative security $0 -3K -0.47% $0.00 642K Jan 12, 2022 Class A Common Stock 3K By RAJN Trust - N F17, F21
* 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.53 to $28.50, 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 $28.53 to $29.05, 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 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.
F6 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.51 to $28.49, 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 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.51 to $28.66, 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 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F10 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust.
F11 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.56 to $28.51, 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 $28.58 to $28.64, 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-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.
F14 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A.
F15 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.52 to $28.45, 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 $28.61 to $29.05, 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 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.
F18 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N.
F19 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.60 to $28.56, 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 19 to this Form 4.
F20 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.61 to $29.05, 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 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.