Goel Amar K.'s Form 4 filing
PubMatic, Inc. (PUBM) · filed Oct 19, 2022
- Accession no.
- 0001209191-22-054155
- Filed
- Oct 19, 2022
- Trade date
- Oct 17-18, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 20 non-derivative transactions and 10 derivative transactions. Open-market sales total $1.41M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Goel Amar K.CIK 0001833508 | Director, Officer (Chairman, Chief Growth Officer), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 17, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.61F3 | −$140,880 | 0 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.61F3 | −$140,880 | 0 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.61F3 | −$140,880 | 0 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.61F10 | −$140,880 | 0 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 11,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.61F13 | −$140,880 | 3,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.70F14 | −$141,600 | 0 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.69F15 | −$141,520 | 0 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.69F14 | −$141,520 | 0 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.69F14 | −$141,520 | 0 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 11,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $17.69F14 | −$141,520 | 3,000 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 17, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 1,295,636 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 815,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 815,000 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 583,652 | Indirect | |
| Oct 17, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 580,652 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 1,287,636 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 807,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 807,000 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 575,652 | Indirect | |
| Oct 18, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 572,652 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.81 per share, inclusive. The Reporting Person undertakes to provide to 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.
Referenced by the price of 3 transactions in Table I.
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.84 per share, inclusive. The Reporting Person undertakes to provide to 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.
Referenced by the price of 1 transaction in Table I.
- F13
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.22 to $17.82 per share, inclusive. The Reporting Person undertakes to provide to 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.
Referenced by the price of 1 transaction in Table I.
- F14
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.34 to $18.33 per share, inclusive. The Reporting Person undertakes to provide to 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.
Referenced by the price of 4 transactions in Table I.
- F15
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.35 to $18.08 per share, inclusive. The Reporting Person undertakes to provide to 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.
Referenced by the price of 1 transaction in Table I.
Remarks
Exhibit 24 - Power of Attorney