Goel Amar K.'s Form 4 filing
PubMatic, Inc. (PUBM) · filed Jan 13, 2022
- Accession no.
- 0001833508-22-000004
- Filed
- Jan 13, 2022
- Trade date
- Jan 12, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 5 derivative transactions. Open-market sales total $674.8K. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +8,000 | $0.00 | $0 | 8,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −7,200 | $28.06F3 | −$202,032 | 800 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −800 | $28.65F4 | −$22,920 | 0 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +5,000 | $0.00 | $0 | 5,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −4,300 | $28.03F7 | −$120,529 | 700 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −700 | $28.61F8 | −$20,027 | 0 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +5,000 | $0.00 | $0 | 5,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −4,500 | $28.05F11 | −$126,225 | 500 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −500 | $28.61F12 | −$14,305 | 0 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −2,600 | $28.03F15 | −$72,878 | 400 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −400 | $28.73F16 | −$11,492 | 0 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionAcquired | +3,000 | $0.00 | $0 | 3,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −2,700 | $28.06F19 | −$75,762 | 300 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | SSaleDisposed | −300 | $28.76F20 | −$8,628 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −8,000 | $0.00 | $0 | 1,383,636 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −5,000 | $0.00 | $0 | 885,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −5,000 | $0.00 | $0 | 885,000 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 641,652 | Indirect | |
| Jan 12, 2022 | Class A Common Stock | CConversionDisposed | −3,000 | $0.00 | $0 | 641,652 | 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.53 to $28.50, 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 in this footnote 3 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.53 to $29.05, 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 in this footnote 4 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.51 to $28.49, 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 in this footnote 7 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.51 to $28.66, 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 in this footnote 8 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F11
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.56 to $28.51, 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 in this footnote 11 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F12
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.58 to $28.64, 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 in this footnote 12 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F15
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.52 to $28.45, 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 in this footnote 15 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F16
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.61 to $29.05, 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 in this footnote 16 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F19
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.60 to $28.56, 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 in this footnote 19 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F20
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.61 to $29.05, 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 in this footnote 20 to this Form 4.
Referenced by the price of 1 transaction in Table I.