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