Goel Amar K.'s Form 4 filing
PubMatic, Inc. (PUBM) · filed Nov 12, 2021
- Accession no.
- 0001833508-21-000020
- Filed
- Nov 12, 2021
- Trade date
- Nov 11, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 5 derivative transactions. Open-market sales total $6.75M. It was filed 1 day 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 (Chief Innovation 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Class A Common Stock | CConversionAcquired | +80,000 | $0.00 | $0 | 80,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −5,000 | $36.79 | −$183,950 | 75,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −75,000 | $39.00 | −$2,925,000 | 0 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionAcquired | +80,000 | $0.00 | $0 | 80,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −5,000 | $36.79 | −$183,950 | 75,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −75,000 | $39.27 | −$2,945,250 | 0 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −8,000 | $36.79 | −$294,320 | 0 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −3,000 | $36.79 | −$110,370 | 0 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −3,000 | $36.79 | −$110,370 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −80,000 | $0.00 | $0 | 895,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −80,000 | $0.00 | $0 | 895,000 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 1,402,836 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 647,652 | Indirect | |
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 647,652 | 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.
No transaction price on this filing refers to a footnote.