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PubMatic, Inc. — Director's Dealing 2022
Oct 4, 2022
33071_dirs_2022-10-04_aa4bd685-8771-4650-889b-7b2ee988d30c.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: 2022-09-30
Reporting Person: Pantelick Steven (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-09-30 | Class A Common Stock | M | 2261 | $0.00 | Acquired | 26062 | Direct |
| 2022-10-01 | Class A Common Stock | M | 5056 | $0.00 | Acquired | 31118 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-09-30 | Restricted Stock Unit | $0.00 | M | 2261 | Disposed | Class A Common Stock (2261) | Direct | |
| 2022-10-01 | Restricted Stock Unit | $0.00 | M | 5056 | Disposed | Class A Common Stock (5056) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $0.00 | Class A Common Stock (467360) | 467360 | Direct | |
| Class B Common Stock | $0.00 | Class A Common Stock (115000) | 115000 | Indirect |
Footnotes
F1: Includes 2,500 and 1,250 shares of the Issuer's Class A common stock issued to the Reporting Person pursuant to the Issuer's employee stock purchase plan on May 28, 2021 and May 31, 2022, respectively.
F2: Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's Class A Common Stock at the time of vesting for no consideration.
F3: The RSUs vested as to 1/8 of the total shares on June 30, 2021, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F4: RSUs do not expire; they either vest or are canceled prior to the vesting date.
F5: The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
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.