PubMatic, Inc. — Director's Dealing 2022

Mar 22, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PubMatic, Inc. (PUBM)
CIK: 0001422930
Period of Report: 2021-03-19

Reporting Person: CNH Capital Co Ltd (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-05-24	Class A Common Stock	P	5000	$34.27	Acquired	137050	Indirect
2021-05-24	Class A Common Stock	P	12000	$34.10	Acquired	750000	Indirect
2021-05-25	Class A Common Stock	P	5000	$33.63	Acquired	142050	Indirect
2021-05-25	Class A Common Stock	P	10000	$32.63	Acquired	760000	Indirect
2021-05-26	Class A Common Stock	P	5000	$32.52	Acquired	20000	Indirect
2021-05-26	Class A Common Stock	P	10000	$34.00	Acquired	765000	Indirect
2021-05-27	Class A Common Stock	P	35000	$31.30	Acquired	800000	Indirect
2021-05-28	Class A Common Stock	P	10000	$31.06	Acquired	152050	Indirect
2021-05-28	Class A Common Stock	P	5000	$29.57	Acquired	805000	Indirect
2021-06-01	Class A Common Stock	P	9350	$29.42	Acquired	161400	Indirect
2021-06-01	Class A Common Stock	P	650	$30.00	Acquired	162050	Indirect
2021-06-01	Class A Common Stock	P	4500	$29.22	Acquired	24500	Indirect
2021-06-01	Class A Common Stock	P	500	$30.01	Acquired	25000	Indirect
2021-06-01	Class A Common Stock	P	10000	$29.18	Acquired	815000	Indirect
2021-06-02	Class A Common Stock	P	5000	$28.96	Acquired	167050	Indirect
2021-06-02	Class A Common Stock	P	10000	$29.53	Acquired	825000	Indirect
2021-06-03	Class A Common Stock	P	10000	$28.74	Acquired	177050	Indirect
2021-06-03	Class A Common Stock	P	10000	$28.42	Acquired	835000	Indirect
2021-06-04	Class A Common Stock	P	8700	$28.15	Acquired	185750	Indirect
2021-06-04	Class A Common Stock	P	1300	$29.01	Acquired	187050	Indirect
2021-06-04	Class A Common Stock	P	5000	$27.35	Acquired	840000	Indirect
2021-06-07	Class A Common Stock	P	5000	$27.46	Acquired	192050	Indirect
2021-06-07	Class A Common Stock	P	2500	$27.59	Acquired	27500	Indirect
2021-06-07	Class A Common Stock	P	3000	$28.79	Acquired	843000	Indirect
2021-06-08	Class A Common Stock	P	5000	$30.04	Acquired	197050	Indirect
2021-06-08	Class A Common Stock	P	7000	$30.35	Acquired	850000	Indirect
2021-06-14	Class A Common Stock	P	5000	$33.72	Acquired	32500	Indirect
2021-06-15	Class A Common Stock	P	5000	$33.38	Acquired	37500	Indirect
2021-06-16	Class A Common Stock	P	3022	$33.23	Acquired	40522	Indirect
2021-06-16	Class A Common Stock	P	1978	$33.96	Acquired	42500	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-24	Contract For Difference	$	P	3000	Acquired		Class A Common Stock (3000)	Indirect
2021-03-30	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect
2021-03-30	Contract For Difference	$	P	7000	Acquired		Class A Common Stock (7000)	Indirect
2021-03-30	Contract For Difference	$	P	3000	Acquired		Class A Common Stock (3000)	Indirect
2021-04-16	Contract For Difference	$	P	539	Acquired		Class A Common Stock (539)	Indirect
2021-04-16	Contract For Difference	$	P	14461	Acquired		Class A Common Stock (14461)	Indirect
2021-04-16	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect
2021-05-12	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect
2021-06-02	Contract For Difference	$	P	2500	Acquired		Class A Common Stock (2500)	Indirect
2021-06-03	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect
2021-06-03	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect
2021-06-04	Contract For Difference	$	P	2500	Acquired		Class A Common Stock (2500)	Indirect
2021-06-04	Contract For Difference	$	P	2500	Acquired		Class A Common Stock (2500)	Indirect
2021-06-08	Contract For Difference	$	P	2500	Acquired		Class A Common Stock (2500)	Indirect
2021-06-16	Contract For Difference	$	P	5000	Acquired		Class A Common Stock (5000)	Indirect

Footnotes

F1: Directly by Granite Holdings Co, Ltd. (?Granite?). CNH Co., Ltd. (?CNH?) is a subsidiary of Granite. Each of CNH Capital Co., Ltd. (?CNH Capital?) and CNH Hospitality Co., Ltd. (?CNH Hospitality?) is a subsidiary of CNH. Duk Ho Cho is the majority shareholder of Granite and chairperson of CNH. Because of the relationships described herein, Mr. Cho may be deemed to beneficially own the securities beneficially owned by Granite, Granite may be deemed to beneficially own the securities beneficially owned by CNH and CNH may be deemed to beneficially own the securities held by each of CNH Capital and CNH Hospitality. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F2: Directly held by CNH.

F3: Directly held by CNH Capital.

F4: Directly held by Duk Ho Cho.

F5: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $34.11 to $34.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F6: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.51 to $34.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F7: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $32.30 to $32.65, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F8: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.90 to $31.35, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F9: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.98 to $29.70, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F10: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.98 to $29.70, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F11: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.70 to $29.20, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F12: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.20 to $28.94, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F13: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.85 to $28.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F14: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.88 to $29.36, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F15: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.00 to $27.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F16: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.30 to $27.90, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F17: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.00 to $30.20, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F18: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.20 to $34.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F19: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.30 to $33.51, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F20: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $32.80 to $33.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F21: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.94 to $33.99, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F22: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $53.00 to $54.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F23: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $55.69 to $56.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F24: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.35 to $37.88, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F25: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.80 to $29.18, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F26: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.50 to $28.8, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F27: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.30 to $28.94, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F28: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.30 to $29.11, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F29: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.00 to $20.08, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F30: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $33.68 to $33.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of 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 that range.

F31: A Contract For Differences (?CFD?) is a financial contract that pays the difference in the settlement price between the open and closing trades. CFDs have no maturity and can be closed at the option of the Reporting Person.