0001209191-20-062740.txt : 20201210 0001209191-20-062740.hdr.sgml : 20201210 20201210170153 ACCESSION NUMBER: 0001209191-20-062740 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201208 FILED AS OF DATE: 20201210 DATE AS OF CHANGE: 20201210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goel Rajeev K. CENTRAL INDEX KEY: 0001833511 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 201381309 MAIL ADDRESS: STREET 1: C/O PUBMATIC, INC. STREET 2: 3 LAGOON DRIVE, SUITE 180 CITY: REDWOOD CITY STATE: CA ZIP: 94065 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PubMatic, Inc. CENTRAL INDEX KEY: 0001422930 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 205863224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3 LAGOON DRIVE STREET 2: SUITE 180 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-331-3485 MAIL ADDRESS: STREET 1: 3 LAGOON DRIVE STREET 2: SUITE 180 CITY: REDWOOD CITY STATE: CA ZIP: 94065 FORMER COMPANY: FORMER CONFORMED NAME: PUBMATIC, INC. DATE OF NAME CHANGE: 20140306 FORMER COMPANY: FORMER CONFORMED NAME: Komli Inc DATE OF NAME CHANGE: 20080107 3/A 1 doc3a.xml FORM 3/A SUBMISSION X0206 3/A 2020-12-08 2020-12-08 0 0001422930 PubMatic, Inc. PUBM 0001833511 Goel Rajeev K. C/O PUBMATIC, INC. 3 LAGOON DRIVE, SUITE 180 REDWOOD CITY CA 94065 1 1 1 0 Chief Executive Officer Class B Common Stock 0.00 Class A Common Stock 210984 D Class B Common Stock 0.00 Class A Common Stock 1230835 I See footnote Class B Common Stock 0.00 Class A Common Stock 581260 I See footnote Class B Common Stock 0.00 Class A Common Stock 400000 I See footnote Class B Common Stock 0.00 Class A Common Stock 68616 I See footnote Class B Common Stock 0.00 Class A Common Stock 308775 I See footnote Class B Common Stock 0.00 Class A Common Stock 308775 I See footnote Stock Option (Right to buy Class B Common Stock) 1.11 2026-07-07 Class B Common Stock 451915 D Stock Option (Right to buy Class B Common Stock) 1.11 2026-07-07 Class B Common Stock 730745 D Stock Option (Right to buy Class B Common Stock) 1.11 2026-07-07 Class B Common Stock 15782 D Stock Option (Right to buy Class B Common Stock) 2.15 2027-05-01 Class B Common Stock 400000 D Stock Option (Right to buy Class B Common Stock) 3.89 2028-03-13 Class B Common Stock 350000 D Stock Option (Right to buy Class B Common Stock) 2.97 2029-05-20 Class B Common Stock 250000 D Stock Option (Right to buy Class B Common Stock) 2.16 2030-07-28 Class B Common Stock 600000 D 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 The Goel Family Trust, of which the Reporting Person and his spouse are trustees and beneficiaries. These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act. These securities are held by The Goel Heritage Trust, of which the Reporting Person's children are beneficiaries. 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. These securities are held by The Goel Family Gift Trust, of which family members and certain other individuals are beneficiaries. 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. These securities are held by a trust for the benefit of the Reporting Person's child. 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. The options are fully vested. The option vests as to 1/48 of the total shares on March 1, 2017, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. The option is early exercisable with respect to 223,907 shares. The option vests as to 1/48 of the total shares on February 1, 2018, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. The option is early exercisable with respect to 326,213 shares. The option vests as to 1/48 of the total shares on February 1, 2019, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. The option is early exercisable with respect to 220,673 shares. The option vests as to 1/48 of the total shares on February 1, 2020, and 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. This amendment to Form 3 filed on December 8, 2020 reflects a correction to the stock option expiration date. /s/ Thomas Chow, Attorney-in-Fact 2020-12-10