0001415889-24-019244.txt : 20240703 0001415889-24-019244.hdr.sgml : 20240703 20240703172913 ACCESSION NUMBER: 0001415889-24-019244 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240401 FILED AS OF DATE: 20240703 DATE AS OF CHANGE: 20240703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goel Amar K. CENTRAL INDEX KEY: 0001833508 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 241101037 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] ORGANIZATION NAME: 06 Technology IRS NUMBER: 205863224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 601 MARSHALL STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-331-3485 MAIL ADDRESS: STREET 1: 601 MARSHALL STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 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 form4-07032024_090710.xml X0508 4 2024-04-01 0001422930 PubMatic, Inc. PUBM 0001833508 Goel Amar K. C/O PUBMATIC, INC. 601 MARSHALL STREET REDWOOD CITY CA 94063 true true false false CHAIRMAN, CHIEF INNOVATION OFF 1 Class A Common Stock 2024-07-01 4 M 0 9192 0 A 12452 D Class A Common Stock 2024-07-02 4 S 0 3455 20.4143 D 8997 D Class A Common Stock 2024-07-03 4 S 0 3755 20.635 D 5242 D Restricted Stock Unit 0 2024-07-01 4 M 0 2993 0 D Class A Common Stock 2993 17956 D Restricted Stock Unit 0 2024-07-01 4 M 0 2030 0 D Class A Common Stock 2030 20299 D Restricted Stock Unit 0 2024-07-01 4 M 0 4169 0 D Class A Common Stock 4169 58362 D Class B Common Stock Class A Common Stock 1231585 1231585 I By Birchwood Trust Class B Common Stock Class A Common Stock 755584 755584 I By Tuscan Irrevocable Trust Class B Common Stock Class A Common Stock 755314 755314 I By Marais Irrevocable Trust Class B Common Stock Class A Common Stock 524162 524162 I By RAJN Trust-A Class B Common Stock Class A Common Stock 524247 524247 I By RAJN Trust-N Class B Common Stock Class A Common Stock 443414 443414 I See footnote 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. The price reported in this line item is a weighted average price. These shares were sold as part of a block trade for multiple security holders of the Issuer at prices ranging from $20.12 to $20.59, 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 with regard to the block trade. The sales reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 5, 2023. The price reported in this line item is a weighted average price. These shares were sold at prices ranging from $20.38 to $20.75, 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. Each RSU represents a right to receive one share of the Issuer's Class A Common Stock at the time of settlement for no consideration. 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. RSUs do not expire; they either vest or are canceled prior to the vesting date. The RSUs vested as to 1/16th of the total award 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. The RSUs vest as to 1/16th of the total shares on April 1, 2024, 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. 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. These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. 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 shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. 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 shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. 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 Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act. /s/ Andrew Woods, Attorney-in-Fact 2024-07-03