Form Type: 4

SEC EDGAR Link
Accession Number:0001834185-21-000008
Date:2021-06-30
Issuer: PUBMATIC, INC. (PUBM)
Original Submission Date:

Reporting Person:

HIRSCH JEFFREY K.
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 2021-06-30 M 2,613 a $0.00 2,613 direct
CLASS A COMMON STOCK 2021-07-01 C 5,000 a $0.00 7,613 direct
CLASS A COMMON STOCK 2021-07-01 S 3,600 d $36.92 4,013 direct
CLASS A COMMON STOCK 2021-07-01 S 1,200 d $38.44 2,813 direct
CLASS A COMMON STOCK 2021-07-01 S 200 d $39.42 2,613 direct
CLASS A COMMON STOCK 2021-07-02 S 1,094 d $34.97 1,519 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
RESTRICTED STOCK UNIT 0.0 2021-06-30 deemed execution date M 2,613 (d) class a common stock 2,613 $0.00 18,287 direct
STOCK OPTION (RIGHT TO BUY CLASS B COMMON STOCK) 2.97 2021-07-01 deemed execution date M 5,000 (d) 2029-05-20 class b common stock 5,000 $2.97 60,000 direct
CLASS B COMMON STOCK 0.0 2021-07-01 deemed execution date M 5,000 (a) class a common stock 5,000 $0.00 5,000 direct
CLASS B COMMON STOCK 0.0 2021-07-01 deemed execution date C 5,000 (d) class a common stock 5,000 $0.00 0 direct
Footnotes
IDfootnote
f1 the sales reported in this form 4 were 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 $36.61 to $37.56, 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 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 $37.94 to $38.91, 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 $39.40 to $39.43, 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 price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $34.68 to $35.43, 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 5 to this form 4.
f6 each restricted stock unit ("rsu") represents a right to receive one share of the issuer's class a common stock at the time of vesting for no consideration. on january 29, 2021, the reporting person was granted 20,900 rsus. such rsus were previously reported in table ii on a form 4 filed with the securities and exchange commission on february 2, 2021.
f7 the rsus vest as to 1/8 of the total shares on june 30, 2021, 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.
f8 rsus do not expire; they either vest or are canceled prior to the vesting date.
f9 the options vest as to 1/48 of the total shares on february 1, 2019, 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.
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.
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