Goel Amar K.'s Form 4 filing
PubMatic, Inc. (PUBM) · filed Aug 2, 2023
- Accession no.
- 0001209191-23-044310
- Filed
- Aug 2, 2023
- Trade date
- Jul 31-Aug 1, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 20 non-derivative transactions and 10 derivative transactions. Open-market sales total $307.7K. 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 Innovation Off) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +2,937 | $0.00 | $0 | 2,937 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −2,937 | $20.00 | −$58,740 | 0 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +2,966 | $0.00 | $0 | 2,966 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −2,966 | $20.00 | −$59,320 | 0 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −3,000 | $20.00 | −$60,000 | 0 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −3,000 | $20.00 | −$60,000 | 0 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +2,980 | $0.00 | $0 | 2,980 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −2,980 | $20.00F11 | −$59,600 | 0 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionAcquired | +100 | $0.00 | $0 | 100 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | SSaleDisposed | −100 | $20.00 | −$2,000 | 0 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionAcquired | +100 | $0.00 | $0 | 100 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | SSaleDisposed | −100 | $20.00 | −$2,000 | 0 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionAcquired | +100 | $0.00 | $0 | 100 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | SSaleDisposed | −100 | $20.00 | −$2,000 | 0 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionAcquired | +100 | $0.00 | $0 | 100 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | SSaleDisposed | −100 | $20.00 | −$2,000 | 0 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionAcquired | +100 | $0.00 | $0 | 100 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | SSaleDisposed | −100 | $20.00 | −$2,000 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −2,937 | $0.00 | $0 | 1,266,199 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −2,966 | $0.00 | $0 | 788,034 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 788,000 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 556,652 | Indirect | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −2,980 | $0.00 | $0 | 556,672 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionDisposed | −100 | $0.00 | $0 | 1,266,099 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionDisposed | −100 | $0.00 | $0 | 787,934 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionDisposed | −100 | $0.00 | $0 | 787,900 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionDisposed | −100 | $0.00 | $0 | 556,552 | Indirect | |
| Aug 1, 2023 | Class A Common Stock | CConversionDisposed | −100 | $0.00 | $0 | 556,572 | 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.
- F11
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 $20.015 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.