Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-21-076529
Date:2021-06-01
Issuer: PUBMATIC, INC. (PUBM)
Original Submission Date:

Reporting Person:

CARLBORG W ERIC
PMB #456, 660 4TH STREET
SAN FRANCISCO, CA 94107

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2021-06-01 C 2,000,000 a $0.00 2,000,000 indirect f3
CLASS A COMMON STOCK 2021-06-02 J 1,610,763 d $0.00 389,237 indirect f3
CLASS A COMMON STOCK 2021-06-02 J 54,378 a $0.00 54,378 f4 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS B COMMON STOCK 0.0 2021-06-01 deemed execution date C 2,000,000 (d) class a common stock 2,000,000 $0.00 5,173,750 indirect see footnote
Footnotes
IDfootnote
f1 represents a pro-rata in-kind distribution of class a common stock to the partners of the august capital funds and the members and assignees of the august general partner, and not a purchase or sale, without additional consideration.
f2 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 that occurs after the closing of the issuer's initial public offering, except for certain permitted transfers.
f3 these securities are held by august capital v special opportunities, l.p., as nominee for august capital v special opportunities, l.p., august capital strategic partners v, l.p. and related individuals (collectively, the "august capital funds"). august capital management v, l.l.c. is the general partner of the august capital funds (the "august general partner") and may be deemed to have sole voting power and sole investment power over the shares held by the august capital funds. howard hartenbaum and david m. hornik are the members of august capital management v, l.l.c. and they, along with w. eric carlborg as a voting party with respect to the issuer's securities, may be deemed to share voting and investment power with respect to the shares held by the august capital funds.
f4 shares held directly by w. eric carlborg
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