Filing Details

Accession Number:
0001209191-23-022694
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-04-04 16:19:01
Reporting Period:
2023-03-31
Accepted Time:
2023-04-04 16:19:01
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
1833465 Steven Pantelick C/O Pubmatic, Inc.
601 Marshall Street
Redwood City CA 94063
Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2023-03-31 2,261 $0.00 13,562 No 4 M Direct
Class A Common Stock Acquisiton 2023-04-01 5,056 $0.00 18,618 No 4 M Direct
Class A Common Stock Acquisiton 2023-04-01 9,546 $0.00 28,164 No 4 M Direct
Class A Common Stock Disposition 2023-04-03 6,049 $13.70 22,115 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Restricted Stock Unit Disposition 2023-03-31 2,261 $0.00 2,261 $0.00
Class A Common Stock Restricted Stock Unit Disposition 2023-04-01 5,056 $0.00 5,056 $0.00
Class A Common Stock Restricted Stock Unit Disposition 2023-04-01 9,546 $0.00 9,546 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
15,826 No 4 M Direct
55,621 No 4 M Direct
143,193 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B Common Stock $0.00 419,860 419,860 Direct
Class A Common Stock Class B Common Stock $0.00 115,000 115,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
419,860 419,860 Direct
115,000 115,000 Indirect
Footnotes
  1. The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.48 to $13.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder 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 herein.
  3. Each RSU represents a right to receive one share of the Issuer's Class A Common Stock at the time of vesting for no consideration.
  4. The RSUs vested as to 1/8 of the total shares on June 30, 2021, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
  5. RSUs do not expire; they either vest or are canceled prior to the vesting date.
  6. The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
  7. The RSUs vest as to 1/16th of the total shares on April 1, 2023, and 1/16th of the total shares will vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
  8. 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.