Michael van der Zweep - 01 Dec 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Controller
Signature
/s/ Thomas Chow, Attorney-in-Fact
Issuer symbol
PUBM
Transactions as of
01 Dec 2021
Net transactions value
-$364,789
Form type
4
Filing time
03 Dec 2021, 16:30:36 UTC
Previous filing
17 Nov 2021
Next filing
27 Dec 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 +8,710 +1094% $0.000000 9,506 01 Dec 2021 Direct F1
transaction PUBM Class A Common Stock Sale $129,041 -3,481 -37% $37.07 6,025 01 Dec 2021 Direct F2, F3
transaction PUBM Class A Common Stock Sale $26,572 -700 -12% $37.96 5,325 01 Dec 2021 Direct F2, F4
transaction PUBM Class A Common Stock Sale $35,343 -900 -17% $39.27 4,425 01 Dec 2021 Direct F2, F5
transaction PUBM Class A Common Stock Sale $88,396 -2,200 -50% $40.18 2,225 01 Dec 2021 Direct F2, F6
transaction PUBM Class A Common Stock Sale $58,689 -1,429 -64% $41.07 796 01 Dec 2021 Direct F2, F7
transaction PUBM Class A Common Stock Sale $26,748 -711 -89% $37.62 85 02 Dec 2021 Direct F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +4,000 +4706% $0.000000 4,085 03 Dec 2021 Direct
transaction PUBM Class A Common Stock Gift $0 -4,000 -98% $0.000000 85 03 Dec 2021 Direct F8

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 -8,710 -17% $0.000000 41,130 01 Dec 2021 Class A Common Stock 8,710 Direct F9
transaction PUBM Class B Common Stock Conversion of derivative security $0 -4,000 -9.7% $0.000000 37,130 03 Dec 2021 Class A Common Stock 4,000 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 711 shares of the Issuer's Class A common stock acquired on November 30, 2021 pursuant to the Issuer's Employee Stock Purchase Plan.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.63 to $37.60, 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 $37.65 to $38.48, 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 $38.74 to $39.73, 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 $39.74 to $40.73, 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 $40.74 to $41.34, 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 Reflects the gift of common stock to a charitable donor advised fund.
F9 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.