4//SEC Filing
Gupta Ashish 4
Accession 0001209191-20-063003
CIK 0001422930other
Filed
Dec 10, 7:00 PM ET
Accepted
Dec 11, 5:10 PM ET
Size
25.1 KB
Accession
0001209191-20-063003
Insider Transaction Report
Form 4
PubMatic, Inc.PUBM
Gupta Ashish
Director10% Owner
Transactions
- Sale
Class A Common Stock
2020-12-11$20.00/sh−975,241$19,504,820→ 0 total(indirect: See footnote) - Conversion
Class B Common Stock
2020-12-11+8,502,661→ 8,502,661 total(indirect: See footnote)→ Class A Common Stock (8,502,661 underlying) - Conversion
Class B Common Stock
2020-12-11−975,241→ 7,527,420 total(indirect: See footnote)→ Class A Common Stock (975,241 underlying) - Conversion
Series C Preferred Stock
2020-12-11−5,000,657→ 0 total(indirect: See footnote)→ Class B Common Stock (5,000,657 underlying) - Conversion
Class A Common Stock
2020-12-11+975,241→ 975,241 total(indirect: See footnote) - Conversion
Series D Preferred Stock
2020-12-11−637,251→ 0 total(indirect: See footnote)→ Class B Common Stock (637,251 underlying) - Conversion
Series D Prime Preferred Stock
2020-12-11−41,479→ 0 total(indirect: See footnote)→ Class B Common Stock (41,479 underlying) - Conversion
Series A Preferred Stock
2020-12-11−1,405,896→ 0 total(indirect: See footnote)→ Class B Common Stock (1,405,896 underlying) - Conversion
Series B Preferred Stock
2020-12-11−1,417,378→ 0 total(indirect: See footnote)→ Class B Common Stock (1,417,378 underlying)
Footnotes (3)
- [F1]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.
- [F2]These securities are held by Helion Venture Partners, LLC (HVP LLC). The General Partners of HVP LLC are Ashish Gupta and Sanjeev Aggarwal. The Investment Manager of HVP LLC is Helion Investment Management LLC, of which SA Holdings Global Ltd. (SA Holdings), and the Gupta Goyal Revocable Trust (Goyal Trust) are members. Sanjeev Aggarwal has sole voting and investment power with respect to the shares held by SA Holdings. Ashish Gupta and Nita Goyal share voting and investment power with respect to the shares held by the Goyal Trust. Ashish Gupta is a Director on the Boards of HVP LLC and the Issuer. Accordingly, Sanjeev Aggarwal, Ashish Gupta, and Nita Goyal may be deemed to share voting and investment power over these shares.
- [F3]Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series D Prime Preferred Stock automatically converted into one share of Class B common stock immediately prior to the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series D Prime Preferred Stock have no expiration date.
Documents
Issuer
PubMatic, Inc.
CIK 0001422930
Entity typeother
Related Parties
1- filerCIK 0001835859
Filing Metadata
- Form type
- 4
- Filed
- Dec 10, 7:00 PM ET
- Accepted
- Dec 11, 5:10 PM ET
- Size
- 25.1 KB