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PubMatic, Inc. — Director's Dealing 2024
Sep 5, 2024
33071_dirs_2024-09-05_bc70beca-6b49-4b68-ab1b-33dbb8b5ef9c.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: 2024-09-03
Reporting Person: Pantelick Steven (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-09-03 | Class A Common Stock | C | 4000 | — | Acquired | 26506 | Direct |
| 2024-09-03 | Class A Common Stock | S | 4000 | $15.2109 | Disposed | 22506 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-09-03 | Class B Common Stock | $ | C | 4000 | Disposed | Class A Common Stock (4000) | Direct | |
| 2024-09-05 | Stock Option (Right to buy Class B Common Stock) | $2.16 | M | 21166 | Disposed | 2030-07-28 | Class B Common Stock (21166) | Direct |
| 2024-09-05 | Class B Common Stock | $ | M | 21166 | Acquired | Class A Common Stock (21166) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (73464) | 73464 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (41536) | 41536 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (115000) | 115000 | 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: The sales reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 9, 2024.
F3: The reported price in Column 4 of this line item is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.96 to $15.47 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.
F4: The option vested as to 1/48 of the total shares on February 1, 2020, and 1/48 of the total shares vests monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F5: The Reporting Person and his children are beneficiaries of PSLT DE LLC.
F6: The Reporting Person's spouse and his children are beneficiaries of SMP DE LLC.