van der Zweep Michael's Form 4/A amendment
AmendedPubMatic, Inc. (PUBM) · filed Nov 17, 2022
- Accession no.
- 0001209191-22-057751
- Filed
- Nov 17, 2022
- Trade date
- Aug 15, 2022
- Filing delay
- 94 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 17, 2022
This filing lists 1 non-derivative transaction and 1 derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $4.04K. It was filed 94 days after the trade.
This amendment restates part of 0001209191-22-046456 (filed Aug 17, 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 |
|---|---|
| van der Zweep MichaelCIK 0001844595 | Officer (Controller) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +503 | $0.00 | $0 | 946 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −434 | $0.00 | $0 | 6,066 | Direct |
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 0001209191-22-046456 (filed Aug 17, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2022 | Class A Common Stock | SSaleDisposed | −179 | $22.59F2 | −$4,043.61 | 767 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −433 | $0.00 | $0 | 6,066 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.55 to $22.68, 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.
Referenced by the price of 1 transaction 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
Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's Class A Common Stock at the time of vesting for no consideration. Unless otherwise provided, on each vesting date shares of common stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations.
- F2
The RSUs vest as to 1/16th of the total shares quarterly, beginning on August 15, 2021, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- F3
RSUs do not expire; they either vest or are canceled prior to the vesting date.
Remarks
This amendment to Form 4 filed on August 17, 2022 is filed solely to reflect corrections to (a) the transaction date applicable to the transaction reflected in Table I, and (b) the number of shares reflected in Column 7 of Table II applicable to the reported transaction.