0001209191-20-063075.txt : 20201211
0001209191-20-063075.hdr.sgml : 20201211
20201211194710
ACCESSION NUMBER: 0001209191-20-063075
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201211
FILED AS OF DATE: 20201211
DATE AS OF CHANGE: 20201211
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Helion Venture Partners LLC
CENTRAL INDEX KEY: 0001396792
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39748
FILM NUMBER: 201384792
BUSINESS ADDRESS:
STREET 1: 4th Fl Les Cascades Edith Cavell Street
CITY: Port Louis
STATE: MA
ZIP: 00000
BUSINESS PHONE: 2302129800
MAIL ADDRESS:
STREET 1: 4th Fl Les Cascades Edith Cavell Street
CITY: Port Louis
STATE: MA
ZIP: 00000
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-12-11
0
0001422930
PubMatic, Inc.
PUBM
0001396792
Helion Venture Partners LLC
LES CASCADES 33, EDITH CAVELL STREET
PORT LOUIS
O4
11324
MAURITIUS
0
0
1
0
Class A Common Stock
2020-12-11
4
C
0
975241
0.00
A
975241
D
Class A Common Stock
2020-12-11
4
S
0
975241
20.00
D
0
D
Class B Common Stock
2020-12-11
4
C
0
8502661
0.00
A
Class A Common Stock
8502661
8502661
D
Class B Common Stock
2020-12-11
4
C
0
975241
0.00
D
Class A Common Stock
975241
7527420
D
Series A Preferred Stock
2020-12-11
4
C
0
1405896
0.00
D
Class B Common Stock
1405896
0
D
Series B Preferred Stock
2020-12-11
4
C
0
1417378
0.00
D
Class B Common Stock
1417378
0
D
Series C Preferred Stock
2020-12-11
4
C
0
5000657
0.00
D
Class B Common Stock
5000657
0
D
Series D Preferred Stock
2020-12-11
4
C
0
637251
0.00
D
Class B Common Stock
637251
0
D
Series D Prime Preferred Stock
2020-12-11
4
C
0
41479
0.00
D
Class B Common Stock
41479
0
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 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.
/s/ Thomas Chow, Attorney-in-Fact
2020-12-11
EX-24.4_949755
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY
The undersigned hereby constitutes and appoints Thomas Chow and Steven
Pantelick, as long as he is providing services to PubMatic, Inc. or its related
entities (the "Company"), the undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of the Company, Forms 3, 4 and 5 in accordance
with Section 16(a) of the Securities Exchange Act of 1934, as amended (the
"Exchange Act"), and the rules and regulations thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to complete and execute any such Form 3, 4 or 5
and timely file such forms with the Securities and Exchange Commission and any
stock exchange or similar authority, if required; and
(3) take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to such attorney-in-fact full power and authority
to do and perform each and every act and thing whatsoever requisite, necessary
or proper to be done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned might or could
do if personally present, with full power of substitution and revocation, hereby
ratifying and confirming all that such attorney-in-fact, or each such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, is not assuming, nor
is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Exchange Act.
The undersigned agrees that such attorney-in-fact may rely entirely on
information furnished orally or in writing by the undersigned to such
attorney-in-fact. The undersigned also agrees to indemnify and hold harmless
the Company and such attorney-in-fact against any losses, claims, damages or
liabilities (or actions in these respects) that arise out of or are based on any
untrue statement or omission of necessary facts in the information provided by
the undersigned to such attorney-in-fact for purposes of executing,
acknowledging, delivering and filing Forms 3, 4 or 5 (including amendments
thereto) and agrees to reimburse the Company and each such attorney-in-fact for
any legal or other expenses reasonably incurred in connection with investigating
or defending against any such loss, claim, damage, liability or action.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 11th day of December, 2020.
HELION VENTURE PARTNERS, LLC
/s/ Sandeep Fakun
Name: Sandeep Fakun
Title: Director