0001415889-24-005782.txt : 20240228 0001415889-24-005782.hdr.sgml : 20240228 20240228191742 ACCESSION NUMBER: 0001415889-24-005782 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240227 FILED AS OF DATE: 20240228 DATE AS OF CHANGE: 20240228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goel Rajeev K. CENTRAL INDEX KEY: 0001833511 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39748 FILM NUMBER: 24698008 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 form4-02292024_120229.xml X0508 4 2024-02-27 0001422930 PubMatic, Inc. PUBM 0001833511 Goel Rajeev K. C/O PUBMATIC, INC. 601 MARSHALL STREET REDWOOD CITY CA 94063 true true true false CHIEF EXECUTIVE OFFICER 0 Class A Common Stock 2024-02-27 4 C 0 93270 0 A 93270 I See footnote Class A Common Stock 2024-02-27 4 S 0 64257 20.4431 D 41843 I See footnote Class A Common Stock 2024-02-27 4 S 0 34343 21.1878 D 7500 I See footnote Stock Option (Right to buy Class B Common Stock) 1.11 2024-02-27 4 M 0 93270 0 D 2026-07-07 Class B Common Stock 93270 637475 D Class B Common Stock 2024-02-27 4 M 0 93270 0 A Class A Common Stock 93270 304254 D Class B Common Stock 2024-02-27 4 C 0 93270 0 D Class A Common Stock 93270 210984 D Class B Common Stock Class A Common Stock 500284 500284 I See footnote Class B Common Stock Class A Common Stock 581260 581260 I See footnote Class B Common Stock Class A Common Stock 40000 400000 I See footnote Class B Common Stock Class A Common Stock 68616 68616 I See footnote Class B Common Stock Class A Common Stock 308775 308775 I See footnote Class B Common Stock Class A Common Stock 308775 308775 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. Reflects the transfer of 93,270 shares of Class A Common Stock by the Reporting Person to the Goel Family Trust upon conversion. These securities are held by The Goel Family Trust, of which the Reporting Person and his spouse are beneficiaries. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 1, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.995, 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. Reflects the transfer of 12,830 shares of Class A Common Stock by the Reporting Person to the Goel Family Trust. Represents the weighted average sale price. The lowest price at which shares were sold was $21.00 and the highest price at which shares were sold was $21.53. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein. The options are fully vested. These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act. These securities are held by The Goel Heritage Trust, of which the Reporting Person's children are beneficiaries. 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 Goel Family Gift Trust, of which family members and certain other individuals are beneficiaries. 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 a trust for the benefit of the Reporting Person's child. 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. Forms 4 filed between May 17, 2023 and January 5, 2024 (the "Forms 4") inadvertently reflected the conversion of an aggregate of 66,771 shares of Class B common stock to Class A common stock in connection with various transactions reported in the Forms 4. An aggregate of 66,771 shares of Class A common stock were transferred by the Reporting Person to the Goel Family Trust in connection with various transactions reported in the Forms 4, and no conversions of Class B common stock to Class A common stock were effected. /s/ Andrew Woods, Attorney-in-Fact 2024-02-28