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