Goel Amar K. 的 Form 4/A 修正申報
修正PubMatic, Inc.（PUBM），2024/10/7 申報
- 申報編號
- 0001415889-24-024830
- 申報時間
- 2024/10/7
- 交易日
- 2024/7/1-7/3
- 申報延遲
- 98 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2024/7/3
這份申報列了 3 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $14.8 萬。交易後 98 天申報。
這份修正申報取代了 0001415889-24-019244（2024/7/3 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Goel Amar K.CIK 0001833508 | 董事、高階主管（CHAIRMAN, CHIEF INNOVATION OFF） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/7/1 | Class A Common Stock | M行使選擇權處分 | −2,993 | $0.00 | $0 | 17,956 | 直接 | |
| 2024/7/1 | Class A Common Stock | M行使選擇權處分 | −2,030 | $0.00 | $0 | 20,299 | 直接 | |
| 2024/7/1 | Class A Common Stock | M行使選擇權處分 | −4,169 | $0.00 | $0 | 58,362 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The sales reported on this Form 4 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 this line item 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 $20.12 to $20.59, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F3
The sales reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 5, 2023.
- F4
The price reported in this line item is a weighted average price. These shares were sold at prices ranging from $20.38 to $20.75, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
Each RSU represents a right to receive one share of the Issuer's Class A Common Stock at the time of settlement for no consideration.
- F6
The RSUs vested as to 1/16th of the total shares on April 1, 2022, and 1/16th of the total shares vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- F7
RSUs do not expire; they either vest or are canceled prior to the vesting date.
- F8
The RSUs vested as to 1/16th of the total award on April 1, 2023, and 1/16th of the total shares will vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- F9
The RSUs vest as to 1/16th of the total shares on April 1, 2024, and 1/16th of the total shares will vest quarterly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
- F10
Each share of Class B common stock held by the Issuer's executive officers, directors and their respective affiliates will convert automatically into one share of Class A common stock upon any transfer, except for certain permitted transfers.
- F11
These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
- F12
These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
- F13
These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F14
These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F15
These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F16
These securities are held by the Reporting Person, as custodian for the benefit of his children under the California Uniform Transfers to Minors Act.
備註
This amendment to Form 4 filed on July 3, 2024 (the "Form 4") restates the Form 4 in its entirety and is filed to correct the date of the earliest transaction reported in Box 3 to July 1, 2024.