0001833508-22-000004.txt : 20220113 0001833508-22-000004.hdr.sgml : 20220113 20220113202505 ACCESSION NUMBER: 0001833508-22-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220112 FILED AS OF DATE: 20220113 DATE AS OF CHANGE: 20220113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goel Amar K. CENTRAL INDEX KEY: 0001833508 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 22530225 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 4 1 wf-form4_164212348804982.xml FORM 4 X0306 4 2022-01-12 0 0001422930 PubMatic, Inc. PUBM 0001833508 Goel Amar K. C/O PUBMATIC, INC. 601 MARSHALL ST. REDWOOD CITY CA 94063 1 1 1 0 Chief Innovation Officer Class A Common Stock 2022-01-12 4 C 0 8000 0 A 8000 I By Birchwood Trust Class A Common Stock 2022-01-12 4 S 0 7200 28.06 D 800 I By Birchwood Trust Class A Common Stock 2022-01-12 4 S 0 800 28.65 D 0 I By Birchwood Trust Class A Common Stock 2022-01-12 4 C 0 5000 0 A 5000 I By Marais Irrevocable Trust Class A Common Stock 2022-01-12 4 S 0 4300 28.03 D 700 I By Marais Irrevocable Trust Class A Common Stock 2022-01-12 4 S 0 700 28.61 D 0 I By Marais Irrevocable Trust Class A Common Stock 2022-01-12 4 C 0 5000 0 A 5000 I By Tuscan Irrevocable Trust Class A Common Stock 2022-01-12 4 S 0 4500 28.05 D 500 I By Tuscan Irrevocable Trust Class A Common Stock 2022-01-12 4 S 0 500 28.61 D 0 I By Tuscan Irrevocable Trust Class A Common Stock 2022-01-12 4 C 0 3000 0 A 3000 I By RAJN Trust - A Class A Common Stock 2022-01-12 4 S 0 2600 28.03 D 400 I By RAJN Trust - A Class A Common Stock 2022-01-12 4 S 0 400 28.73 D 0 I By RAJN Trust - A Class A Common Stock 2022-01-12 4 C 0 3000 0 A 3000 I By RAJN Trust - N Class A Common Stock 2022-01-12 4 S 0 2700 28.06 D 300 I By RAJN Trust - N Class A Common Stock 2022-01-12 4 S 0 300 28.76 D 0 I By RAJN Trust - N Class B Common Stock 2022-01-12 4 C 0 8000 0 D Class A Common Stock 8000.0 1383636 I By Birchwood Trust Class B Common Stock 2022-01-12 4 C 0 5000 0 D Class A Common Stock 5000.0 885000 I By Marais Irrevocable Trust Class B Common Stock 2022-01-12 4 C 0 5000 0 D Class A Common Stock 5000.0 885000 I By Tuscan Irrevocable Trust Class B Common Stock 2022-01-12 4 C 0 3000 0 D Class A Common Stock 3000.0 641652 I By RAJN Trust - A Class B Common Stock 2022-01-12 4 C 0 3000 0 D Class A Common Stock 3000.0 641652 I By RAJN Trust - N These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.53 to $28.50, 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 in this footnote 3 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.53 to $29.05, 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 in this footnote 4 to this Form 4. 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.51 to $28.49, 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 in this footnote 7 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.51 to $28.66, 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 in this footnote 8 to this Form 4. These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.56 to $28.51, 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 in this footnote 11 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.58 to $28.64, 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 in this footnote 12 to this Form 4. 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.52 to $28.45, 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 in this footnote 15 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.61 to $29.05, 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 in this footnote 16 to this Form 4. 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.60 to $28.56, 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 in this footnote 19 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.61 to $29.05, 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 in this footnote 20 to this Form 4. 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. /s/ Thomas Chow, Attorney-in-Fact 2022-01-13