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PubMatic, Inc. — Director's Dealing 2021
Jun 28, 2021
33071_dirs_2021-06-28_3974bf0c-e597-416b-8d92-a08adce3478c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PubMatic, Inc. (PUBM)
CIK: 0001422930
Period of Report: 2021-06-24
Reporting Person: Pantelick Steven (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-24 | Class A Common Stock | C | 25000 | — | Acquired | 25000 | Direct |
| 2021-06-24 | Class A Common Stock | S | 16912 | $40.37 | Disposed | 8088 | Direct |
| 2021-06-24 | Class A Common Stock | S | 7788 | $41.32 | Disposed | 300 | Direct |
| 2021-06-24 | Class A Common Stock | S | 300 | $42.09 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-24 | Stock Option (Right to buy Class B Common Stock) | $2.15 | M | 3346 | Disposed | 2027-05-01 | Class B Common Stock (3346.0) | Direct |
| 2021-06-24 | Class B Common Stock | $0.0 | M | 3346 | Acquired | Class A Common Stock (3346.0) | Direct | |
| 2021-06-24 | Class B Common Stock | $0.0 | C | 3346 | Disposed | Class A Common Stock (3346.0) | Direct | |
| 2021-06-24 | Stock Option (Right to buy Class B Common Stock) | $3.89 | M | 21654 | Disposed | 2028-03-13 | Class B Common Stock (21654.0) | Direct |
| 2021-06-24 | Class B Common Stock | $0.0 | M | 21654 | Acquired | Class A Common Stock (21654.0) | Direct | |
| 2021-06-24 | Class B Common Stock | $0.0 | C | 21654 | Disposed | Class A Common Stock (21654.0) | Direct |
Footnotes
F1: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 4, 2021.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.96, 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 2 to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.92, 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 $42.07 to $42.10, 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 options are fully vested.
F6: 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.
F7: The options vest as to 1/48 of the total shares on February 1, 2018, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.