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PubMatic, Inc. — Director's Dealing 2024
May 9, 2024
33071_dirs_2024-05-09_ee1bfd52-8c55-42fb-b963-4d99394aa361.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: 2024-05-07
Reporting Person: Goel Amar K. (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-05-07 | Class A Common Stock | C | 400 | — | Acquired | 400 | Indirect |
| 2024-05-07 | Class A Common Stock | S | 400 | $24.50 | Disposed | 0 | Indirect |
| 2024-05-07 | Class A Common Stock | C | 400 | — | Acquired | 400 | Indirect |
| 2024-05-07 | Class A Common Stock | S | 400 | $24.50 | Disposed | 0 | Indirect |
| 2024-05-07 | Class A Common Stock | C | 600 | — | Acquired | 600 | Indirect |
| 2024-05-07 | Class A Common Stock | S | 600 | $24.5067 | Disposed | 0 | Indirect |
| 2024-05-07 | Class A Common Stock | C | 400 | — | Acquired | 400 | Indirect |
| 2024-05-07 | Class A Common Stock | S | 400 | $24.50 | Disposed | 0 | Indirect |
| 2024-05-07 | Class A Common Stock | C | 400 | — | Acquired | 400 | Indirect |
| 2024-05-07 | Class A Common Stock | S | 400 | $24.50 | Disposed | 0 | Indirect |
| 2024-05-08 | Class A Common Stock | C | 1564 | — | Acquired | 1564 | Indirect |
| 2024-05-08 | Class A Common Stock | S | 1564 | $24.6313 | Disposed | 0 | Indirect |
| 2024-05-08 | Class A Common Stock | C | 1516 | — | Acquired | 1516 | Indirect |
| 2024-05-08 | Class A Common Stock | S | 1516 | $24.6911 | Disposed | 0 | Indirect |
| 2024-05-08 | Class A Common Stock | C | 1620 | — | Acquired | 1620 | Indirect |
| 2024-05-08 | Class A Common Stock | S | 1620 | $24.6522 | Disposed | 0 | Indirect |
| 2024-05-08 | Class A Common Stock | C | 1590 | — | Acquired | 1590 | Indirect |
| 2024-05-08 | Class A Common Stock | S | 1590 | $24.6973 | Disposed | 0 | Indirect |
| 2024-05-08 | Class A Common Stock | C | 1525 | — | Acquired | 1525 | Indirect |
| 2024-05-08 | Class A Common Stock | S | 1525 | $24.6842 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-05-07 | Class B Common Stock | $ | C | 400 | Disposed | Class A Common Stock (400) | Indirect | |
| 2024-05-07 | Class B Common Stock | $ | C | 400 | Disposed | Class A Common Stock (400) | Indirect | |
| 2024-05-07 | Class B Common Stock | $ | C | 600 | Disposed | Class A Common Stock (600) | Indirect | |
| 2024-05-07 | Class B Common Stock | $ | C | 400 | Disposed | Class A Common Stock (400) | Indirect | |
| 2024-05-07 | Class B Common Stock | $ | C | 400 | Disposed | Class A Common Stock (400) | Indirect | |
| 2024-05-08 | Class B Common Stock | $ | C | 1564 | Disposed | Class A Common Stock (1564) | Indirect | |
| 2024-05-08 | Class B Common Stock | $ | C | 1516 | Disposed | Class A Common Stock (1516) | Indirect | |
| 2024-05-08 | Class B Common Stock | $ | C | 1620 | Disposed | Class A Common Stock (1620) | Indirect | |
| 2024-05-08 | Class B Common Stock | $ | C | 1590 | Disposed | Class A Common Stock (1590) | Indirect | |
| 2024-05-08 | Class B Common Stock | $ | C | 1525 | Disposed | Class A Common Stock (1525) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 2640 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (443414) | 443414 | Indirect |
Footnotes
F1: 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.
F2: These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F3: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust on December 5, 2023.
F4: These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F5: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust on December 5, 2023.
F6: These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F7: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust on December 5, 2023.
F8: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.50 to $24.52 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.
F9: These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F10: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust - A on December 5, 2023.
F11: These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F12: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust - N on December 5, 2023.
F13: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.50 to $25.25 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.
F14: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.50 to $25.24 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.
F15: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.50 to $25.25 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.
F16: 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.
F17: These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.