0001104659-21-076531.txt : 20210603 0001104659-21-076531.hdr.sgml : 20210603 20210603185045 ACCESSION NUMBER: 0001104659-21-076531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210603 DATE AS OF CHANGE: 20210603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: August Capital Strategic Partners V, L.P. CENTRAL INDEX KEY: 0001464232 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 21994155 BUSINESS ADDRESS: STREET 1: 2480 SAND HILL RD., SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-234-9900 MAIL ADDRESS: STREET 1: 2480 SAND HILL RD., SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: August Capital V, L.P. CENTRAL INDEX KEY: 0001452198 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 21994156 BUSINESS ADDRESS: STREET 1: 2480 SAND HILL RD. STREET 2: SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-234-9900 MAIL ADDRESS: STREET 1: 2480 SAND HILL RD. STREET 2: SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hartenbaum Howard CENTRAL INDEX KEY: 0001547424 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 21994153 MAIL ADDRESS: STREET 1: 2480 SAND HILL ROAD, SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hornik David CENTRAL INDEX KEY: 0001547378 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 21994154 MAIL ADDRESS: STREET 1: 2480 SAND HILL ROAD, SUITE 101 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: August Capital Management V, L.L.C. CENTRAL INDEX KEY: 0001547399 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 21994157 BUSINESS ADDRESS: STREET 1: PMB #456, 660 4TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 650.234.9900 MAIL ADDRESS: STREET 1: PMB #456, 660 4TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 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 tm2118467d3_4.xml OWNERSHIP DOCUMENT X0306 4 2021-06-01 0 0001422930 PubMatic, Inc. PUBM 0001547399 August Capital Management V, L.L.C. PMB #456, 660 4TH STREET SAN FRANCISCO CA 94107 0 0 1 0 0001452198 August Capital V, L.P. PMB #456, 660 4TH STREET SAN FRANCISCO CA 94107 0 0 1 0 0001464232 August Capital Strategic Partners V, L.P. PMB #456, 660 4TH STREET SAN FRANCISCO CA 94107 0 0 1 0 0001547378 Hornik David C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94107 0 0 1 0 0001547424 Hartenbaum Howard C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94107 0 0 1 0 Class A common stock 2021-06-01 4 C 0 2000000 A 2000000 I See footnote Class A common stock 2021-06-02 4 J 0 1610763 D 389237 I See footnote Class A common stock 2021-06-02 4 J 0 39874 A 39874 D Class A common stock 2021-06-02 4 J 0 39874 A 39874 D Class A Common stock 2021-06-03 4 S 0 26630 29.43 D 13244 D Class B common stock 2021-06-01 4 C 0 2000000 0.00 D Class A common stock 2000000 5173750 I See footnote Represents a pro-rata in-kind distribution of Class A common stock to the partners of the August Capital Funds and the members and assignees of the August General Partner, and not a purchase or sale, without additional consideration. 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 August Capital V Special Opportunities, L.P., as nominee for August Capital V Special Opportunities, L.P., August Capital Strategic Partners V, L.P. and related individuals (collectively, the "August Capital Funds"). August Capital Management V, L.L.C. is the general partner of the August Capital Funds (the "August General Partner") and may be deemed to have sole voting power and sole investment power over the shares held by the August Capital Funds. Howard Hartenbaum and David M. Hornik are the members of August Capital Management V, L.L.C. and they, along with W. Eric Carlborg as a voting party with respect to the Issuer's securities, may be deemed to share voting and investment power with respect to the shares held by the August Capital Funds. Shares held directly by David M. Hornik Shares held directly by Howard Hartenbaum. The price reported in this Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.13 to $29.73, inclusive. The reporting person undertakes to provide the Issuer, any security holder 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. This report is one of two reports, each on a separate Form 4, but relating to the same transactions being filed by entities and persons affiliated with August Capital. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of such person's pecuniary interest therein, if any. /s/ Abigail Hipps, Attorney-in-Fact for August Capital entities 2021-06-03 /s/ Abigail Hipps, Attorney-in-Fact for Howard Hartenbaum 2021-06-03 /s/ Abigail Hipps, Attorney-in-Fact for David Hornik 2021-06-03