Gimbel Lisa's Form 4/A amendment
AmendedPubMatic, Inc. (PUBM) · filed Jan 6, 2025
- Accession no.
- 0001415889-25-000758
- Filed
- Jan 6, 2025
- Trade date
- Nov 18, 2024
- Filing delay
- 49 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Nov 19, 2024
This filing lists 1 non-derivative transaction. It carries over 4 transactions from the original filing that it did not restate. Open-market sales total $11.5K. It was filed 49 days after the trade.
This amendment restates part of 0001415889-24-027197 (filed Nov 19, 2024). 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 |
|---|---|
| Gimbel LisaCIK 0001980851 | Officer (CHIEF ACCOUNTING OFFICER) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 18, 2024 | Class A Common Stock | SSaleDisposed | −790 | $14.60F2 | −$11,534 | 4,434 | 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 0001415889-24-027197 (filed Nov 19, 2024).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2024 | Class A Common Stock | MOption exerciseAcquired | +1,395 | $0.00 | $0 | 4,451 | Direct | |
| Nov 15, 2024 | Class A Common Stock | MOption exerciseAcquired | +773 | $0.00 | $0 | 5,224 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2024 | Class A Common Stock | MOption exerciseDisposed | −1,395 | $0.00 | $0 | 15,345 | Direct | |
| Nov 15, 2024 | Class A Common Stock | MOption exerciseDisposed | −773 | $0.00 | $0 | 10,044 | Direct |
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
The sales reported on this line represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold as part of a block trade for multiple security holders of the Issuer at prices ranging from $14.42 to $14.7503, 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 with regard to the block trade.
Referenced by the price of 1 transaction in Table I.
Remarks
This amendment on Form 4/A reflects a correction to the number of shares sold by the Reporting Person on November 18, 2024 to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units as reported in Form 4 filed on November 19, 2024. The total number of shares reported as owned by the Reporting Person in Table I, Column 5 of Forms 4 filed November 19, 2024 and December 4, 2024 is adjusted to reflect this correction.