0001209191-21-052411.txt : 20210818 0001209191-21-052411.hdr.sgml : 20210818 20210818192724 ACCESSION NUMBER: 0001209191-21-052411 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210816 FILED AS OF DATE: 20210818 DATE AS OF CHANGE: 20210818 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: 211187978 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 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: 211187979 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: Hartenbaum Howard CENTRAL INDEX KEY: 0001547424 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 211187977 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: 211187980 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-08-16 0 0001422930 PubMatic, Inc. PUBM 0001547399 August Capital Management V, L.L.C. C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94017 0 0 1 0 0001464232 August Capital Strategic Partners V, L.P. C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94017 0 0 1 0 0001547378 Hornik David C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94017 0 0 1 0 0001547424 Hartenbaum Howard C/O AUGUST CAPITAL PMB #456, 660 4TH STREET SAN FRANCISCO CA 94017 0 0 1 0 Class A common stock 2021-08-16 4 C 0 1500000 A 1889237 I See footnote Class A common stock 2021-08-17 4 J 0 1500000 D 389237 I See footnote Class A common stock 2021-08-17 4 J 0 39568 A 79442 D Class A common stock 2021-08-12 5 G 0 E 100 0.00 D 13144 D Class A common stock 2021-08-17 4 J 0 39568 A 52712 D Class B common stock 2021-08-16 4 C 0 1500000 0.00 D Class A common stock 1500000 3673750 I See footnote 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. (the "Fund"). August Capital Management V, L.L.C. is the general partner of the Fund (the "August General Partner") and may be deemed to have sole voting power and sole investment power over the shares held by the Fund. Howard Hartenbaum and David M. Hornik are the members of the August General Partner 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 Fund. Represents a pro-rata in-kind distribution of Class A common stock to the partners of the Fund and the members and assignees of the August General Partner, and not a purchase or sale, without additional consideration. Shares held directly by David M. Hornik. Shares held directly by Howard Hartenbaum. 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 2021-08-18 /s/ Abigail Hipps, Attorney-in-Fact for David M. Hornik 2021-08-18 /s/ Abigail Hipps, Attorney-in-Fact for Howard Hartenbaum 2021-08-18