Goel Amar K.'s Form 4/A amendment
AmendedPubMatic, Inc. (PUBM) · filed Oct 19, 2022
- Accession no.
- 0001209191-22-054156
- Filed
- Oct 19, 2022
- Trade date
- May 12, 2022
- Filing delay
- 160 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 16, 2022
This filing lists 1 non-derivative transaction and 1 derivative transaction. It carries over 13 transactions from the original filing that it did not restate. Open-market sales total $482.9K. It was filed 160 days after the trade.
This amendment restates part of 0001209191-22-029226 (filed May 16, 2022). The transactions it did not restate still count and are listed below.
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 |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Class A Common Stock | CConversionAcquired | +6,000 | $0.00 | $0 | 6,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Class A Common Stock | CConversionDisposed | −6,000 | $0.00 | $0 | 626,652 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-22-029226 (filed May 16, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Class A Common Stock | SSaleDisposed | −8,000 | $20.16F3 | −$161,280 | 0 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionAcquired | +5,000 | $0.00 | $0 | 5,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | SSaleDisposed | −5,000 | $20.12F6 | −$100,600 | 0 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionAcquired | +5,000 | $0.00 | $0 | 5,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | SSaleDisposed | −5,000 | $20.11F9 | −$100,550 | 0 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | SSaleDisposed | −3,000 | $20.08F12 | −$60,240 | 0 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | SSaleDisposed | −3,000 | $20.08F12 | −$60,240 | 0 | Indirect |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Class A Common Stock | CConversionDisposed | −5,000 | $0.00 | $0 | 865,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionDisposed | −5,000 | $0.00 | $0 | 865,000 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 629,652 | Indirect | |
| May 12, 2022 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 629,652 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.45 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.
- F6
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.20 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.
- F9
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.18 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.
- F12
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.15 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 2 transactions in Table I.
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.
- F1
These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. 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.
- F2
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, except for certain permitted transfers.
Remarks
This amendment to Form 4 filed on May 16, 2022 reflects the conversion of 6,000 shares of Class B common stock held by the RAJN Trust - N to Class A common stock on May 12, 2022. Form 4 filed on May 16, 2022 inadvertently reflected the conversion of 3,000 shares of Class B common stock held by the the RAJN Trust - N to Class A common stock.