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PubMatic, Inc. — Director's Dealing 2023
Dec 1, 2023
33071_dirs_2023-12-01_1ad52ca0-ff28-487e-ad7d-4d3a92ca3f0a.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: 2023-11-29
Reporting Person: Klimenko Paulina (Chief Growth Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-11-29 | Class A Common Stock | C | 30706 | $0.00 | Acquired | 30706 | Direct |
| 2023-11-29 | Class A Common Stock | S | 30706 | $17.0397 | Disposed | 0 | Direct |
| 2023-12-01 | Class A Common Stock | C | 2084 | $0.00 | Acquired | 2084 | Direct |
| 2023-12-01 | Class A Common Stock | S | 2084 | $17.00 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-11-29 | Stock Option (Right to buy Class B Common Stock) | $2.16 | M | 24183 | Disposed | 2030-07-28 | Class B Common Stock (24183) | Direct |
| 2023-11-29 | Class B Common Stock | $0.00 | M | 24183 | Acquired | Class A Common Stock (24183) | Direct | |
| 2023-11-29 | Stock Option (Right to buy Class B Common Stock) | $2.97 | M | 6523 | Disposed | 2029-05-20 | Class B Common Stock (6523) | Direct |
| 2023-11-29 | Class B Common Stock | $0.00 | M | 6523 | Acquired | Class A Common Stock (6523) | Direct | |
| 2023-11-29 | Class B Common Stock | $0.00 | C | 30706 | Disposed | Class A Common Stock (30706) | Direct | |
| 2023-12-01 | Stock Option (Right to buy Class B Common Stock) | $2.16 | M | 2084 | Disposed | 2030-07-28 | Class A Common Stock (2084) | Direct |
| 2023-12-01 | Class B Common Stock | $0.00 | M | 2084 | Acquired | Class A Common Stock (2084) | Direct | |
| 2023-12-01 | Class B Common Stock | $0.00 | C | 2084 | Disposed | Class A Common Stock (2084) | Direct |
Footnotes
F1: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 11, 2023.
F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.19 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder 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.
F3: The options are fully vested.
F4: 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 that occurs after the closing of the Issuer's initial public offering, except for certain permitted transfers.