Form Type: 4

SEC EDGAR Link
Accession Number:0001833465-21-000006
Date:2021-06-24
Issuer: PUBMATIC, INC. (PUBM)
Original Submission Date:

Reporting Person:

PANTELICK STEVEN
C/O PUBMATIC, INC.
3 LAGOON DRIVE, SUITE 180 REDWOOD CITY, CA 94065

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 2021-06-24 C 25,000 a $0.00 25,000 direct
CLASS A COMMON STOCK 2021-06-24 S 16,912 d $40.37 8,088 direct
CLASS A COMMON STOCK 2021-06-24 S 7,788 d $41.32 300 direct
CLASS A COMMON STOCK 2021-06-24 S 300 d $42.09 0 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
STOCK OPTION (RIGHT TO BUY CLASS B COMMON STOCK) 2.15 2021-06-24 deemed execution date M 3,346 (d) 2027-05-01 class b common stock 3,346 $2.15 171,654 direct
CLASS B COMMON STOCK 0.0 2021-06-24 deemed execution date M 3,346 (a) class a common stock 3,346 $0.00 270,010 direct
CLASS B COMMON STOCK 0.0 2021-06-24 deemed execution date C 3,346 (d) class a common stock 3,346 $0.00 266,664 direct
STOCK OPTION (RIGHT TO BUY CLASS B COMMON STOCK) 3.89 2021-06-24 deemed execution date M 21,654 (d) 2028-03-13 class b common stock 21,654 $3.89 178,346 direct
CLASS B COMMON STOCK 0.0 2021-06-24 deemed execution date M 21,654 (a) class a common stock 21,654 $0.00 288,318 direct
CLASS B COMMON STOCK 0.0 2021-06-24 deemed execution date C 21,654 (d) class a common stock 21,654 $0.00 266,664 direct
Footnotes
IDfootnote
f1 the sale reported in this form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on march 4, 2021.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $40.00 to $40.96, 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 2 to this form 4.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $41.00 to $41.92, 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.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $42.07 to $42.10, 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.
f5 the options are fully vested.
f6 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.
f7 the options vest as to 1/48 of the total shares on february 1, 2018, and 1/48 of the total shares will vest monthly thereafter, subject to the reporting person's provision of service to the issuer on each vesting date.
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