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Filing Details

Accession Number:: 0001209191-20-063003
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-11 17:10:02
Reporting Period:: 2020-12-11

Accepted Time:: 2020-12-11 17:10:02
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1422930	Pubmatic Inc.	PUBM	Services-Computer Programming, Data Processing, Etc. (7370)	205863224

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1835859	Ashish Gupta	C/O Pubmatic, Inc. 3 Lagoon Drive, Suite 180 Redwood City CA 94065		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2020-12-11	975,241	$0.00	975,241	No	4	C	Indirect	See footnote
Class A Common Stock	Disposition	2020-12-11	975,241	$20.00	0	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B Common Stock	Acquisiton	2020-12-11	8,502,661	$0.00	8,502,661	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2020-12-11	975,241	$0.00	975,241	$0.00
Class B Common Stock	Series A Preferred Stock	Disposition	2020-12-11	1,405,896	$0.00	1,405,896	$0.00
Class B Common Stock	Series B Preferred Stock	Disposition	2020-12-11	1,417,378	$0.00	1,417,378	$0.00
Class B Common Stock	Series C Preferred Stock	Disposition	2020-12-11	5,000,657	$0.00	5,000,657	$0.00
Class B Common Stock	Series D Preferred Stock	Disposition	2020-12-11	637,251	$0.00	637,251	$0.00
Class B Common Stock	Series D Prime Preferred Stock	Disposition	2020-12-11	41,479	$0.00	41,479	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
8,502,661	No	4	C	Indirect
7,527,420	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect

Footnotes

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.
These securities are held by Helion Venture Partners, LLC (HVP LLC). The General Partners of HVP LLC are Ashish Gupta and Sanjeev Aggarwal. The Investment Manager of HVP LLC is Helion Investment Management LLC, of which SA Holdings Global Ltd. (SA Holdings), and the Gupta Goyal Revocable Trust (Goyal Trust) are members. Sanjeev Aggarwal has sole voting and investment power with respect to the shares held by SA Holdings. Ashish Gupta and Nita Goyal share voting and investment power with respect to the shares held by the Goyal Trust. Ashish Gupta is a Director on the Boards of HVP LLC and the Issuer. Accordingly, Sanjeev Aggarwal, Ashish Gupta, and Nita Goyal may be deemed to share voting and investment power over these shares.
Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series D Prime Preferred Stock automatically converted into one share of Class B common stock immediately prior to the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series D Prime Preferred Stock have no expiration date.