Narendra Gupta - 01 Dec 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Reporting relationship: Director
Issuer ticker: PUBM
Reported as of: 01 Dec 2021
Net transaction value: $0
SEC form: 4
Accepted by SEC: 03 Dec 2021, 17:00:13 UTC
Prior SEC filing: 16 Nov 2021
Source filing: View source filing
Reporting owner signature: /s/ Thomas Chow, Attorney-in-Fact

Key filing fact

Narendra Gupta filed Form 4 for PubMatic, Inc. (PUBM) on 03 Dec 2021.

Key facts

This page summarizes Narendra Gupta's Form 4 filing for PubMatic, Inc. (PUBM).
5 reported transactions and 3 derivative rows are listed below.
Accepted by SEC: 03 Dec 2021, 17:00.

Change

Previous filing in this sequence was filed on 16 Nov 2021.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

PUBM transaction

Class A common stock

Conversion of derivative security

Transaction value
Shares: +1,991,371
Change %
Price
Shares after: 1,991,371
Date: 01 Dec 2021
Ownership: See Footnote
Footnotes: F1, F2, F3

PUBM transaction

Class A common stock

Other

Transaction value
Shares: -1,991,371
Change %: -100%
Price
Shares after: 0
Date: 01 Dec 2021
Ownership: See Footnote
Footnotes: F1, F3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

PUBM transaction Derivative

Class B common stock

Conversion of derivative security

Transaction value: $0
Shares: -1,991,371
Change %: -76%
Price: $0.000000
Shares after: 633,472
Date: 01 Dec 2021
Ownership: See Footnote
Underlying class: Class A common stock
Underlying amount: 1,991,371
Exercise price
Footnotes: F1, F2, F3

PUBM transaction Derivative

Class B common stock

Other

Transaction value: $0
Shares: -633,472
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2021
Ownership: See Footnote
Underlying class: Class A common stock
Underlying amount: 633,472
Exercise price
Footnotes: F1, F2, F3, F4

PUBM transaction Derivative

Class B common stock

Other

Transaction value: $0
Shares: +514,992
Change %: +33%
Price: $0.000000
Shares after: 2,057,572
Date: 01 Dec 2021
Ownership: See Footnote
Underlying class: Class A common stock
Underlying amount: 514,992
Exercise price
Footnotes: F1, F2, F4, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

Represents a pro-rata in-kind distribution of Class A common stock and Class B common stock, and not a purchase or sale, without additional consideration to its partners.

Footnote F2

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.

Footnote F3

These securities are held by Nexus India Capital I, L.P. (Nexus Capital). The sole general partner of Nexus Capital is Nexus India Management I, L.P. (Nexus Management), and the sole general partner of Nexus Management is Nexus India Master Management I, Ltd. (Nexus Master). The Reporting Person holds sole voting, and investment power in Nexus Master, and thus may be deemed to hold sole voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.

Footnote F4

Pursuant to the charter documents of the Issuer, the recipients of such distribution were permitted transferees and thus received such distribution in Class B common stock.

Footnote F5

These securities are held by the Naren & Vinita Gupta Living Trust, Dated 12/2/94.