Draper Associates L P - May 28, 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
10%+ Owner
Signature
Draper Associates, L.P., By: Draper Management Company, LLC (General Partner), By: /s/ Timothy C. Draper, Name: Timothy C. Draper, Title: Managing Member
Stock symbol
PUBM
Transactions as of
May 28, 2021
Transactions value $
$0
Form type
4
Date filed
6/2/2021, 12:53 PM
Previous filing
May 19, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Other +283K 283K May 28, 2021 By Draper Associates, L.P. F1, F4
transaction PUBM Class A Common Stock Other -3.29M -100% 0 May 28, 2021 By Draper Fisher Jurvetson Fund VIII, L.P. F2, F5
transaction PUBM Class A Common Stock Other +252K 252K May 28, 2021 By Draper Fisher Jurvetson Fund VIII Partners, L.P. F2, F6
transaction PUBM Class A Common Stock Other -252K -100% 0 May 28, 2021 By Draper Fisher Jurvetson Fund VIII Partners, L.P. F2, F5
transaction PUBM Class A Common Stock Other +252K 252K May 28, 2021 By DFJ Fund VIII, Ltd. F2, F6
transaction PUBM Class A Common Stock Other -252K -100% 0 May 28, 2021 By DFJ Fund VIII, Ltd. F2, F5
transaction PUBM Class A Common Stock Other -73.1K -100% 0 May 28, 2021 By Draper Fisher Jurvetson Partners VIII, LLC F3, F7
transaction PUBM Class A Common Stock Other +4.91K 4.91K May 28, 2021 By Draper Associates Riskmasters Fund II, LLC F8, F10
transaction PUBM Class A Common Stock Other +4.15K 4.15K May 28, 2021 By Draper Associates Riskmasters Fund III, LLC F9, F10
transaction PUBM Class A Common Stock Other +349K 349K May 28, 2021 Timothy C. Draper F11, F13
transaction PUBM Class A Common Stock Other +76.8K 76.8K May 28, 2021 John H. N. Fisher F12, F14
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P ("Fund VIII"). The General Partner of DALP is Draper Management Company, LLC ("DMC"). The Managing Member of DMC is Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2 These shares are held of record by Fund VIII. Timothy C. Draper and John H.N. Fisher are Managing Directors of the general partner entities of Fund VIII (Draper Fisher Jurvetson Fund VIII Partners, L.P. ("Fund VIII Partners") and DFJ VIII, Ltd ("Fund VIII Ltd")) and as such, they may be deemed to have voting and investment power with respect to such shares. Mr. Draper and Mr. Fisher (and the general partners of Fund VIII) each disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3 These shares are held of record by Draper Fisher Jurvetson Partners VIII, LLC ("Fund VIII LLC") which is a side-by-side fund of Fund VIII. Fund VIII LLC invests lockstep alongside Fund VIII. The Managing Members of Fund VIII LLC are Timothy C. Draper and John H.N. Fisher and as such, they may be deemed to have voting and investment power with respect to such shares. Mr. Draper and Mr. Fisher each disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4 Represents Class A Common Stock of the Issuer held by DALP.
F5 Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII to its partners or members (including its general partner Fund VIII Partners and Fund VIII Ltd, the general partner of Fund VIII Partners) and includes the subsequent pro rata in-kind distribution by Fund VIII Partners and Fund VIII Ltd. to its respective partners.
F6 Represents receipt of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII and the general partner of Fund VIII.
F7 Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Draper Fisher Jurvetson Partners VIII, LLC ("Fund VIII LLC") to its members.
F8 These shares are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund VIII. The Managing Member of DARF II is Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F9 These shares are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund VIII. The Managing Member of DARF III is Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F10 Represents Class A Common Stock of the Issuer held by DARF II and DARF III.
F11 These shares are held of record by the Timothy C. Draper Living Trust, of which Mr. Draper is a co-trustee. Mr. Draper, a United States citizen is a managing director of Fund VIII, a managing member of Fund VIII LLC, a managing member of the general partner of DALP, a managing member of DARF II and a managing member of DARF III.
F12 These shares are held of record by the John Fisher and Jennifer Caldwell Living Trust of which Mr. Fisher is a co-trustee. Mr. Fisher, a United States citizen is a managing director of Fund VIII and a managing member of Fund VIII LLC.
F13 Represents receipt of 56,088 Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII and the general partner entities of Fund VIII and Fund VIII LLC, and by Fund VIII LLC. Also includes 283,434 shares held by DALP, 4,909 shares held by DARF II and 4,148 shares held by DARF III. See footnotes (1), (8) and (9).
F14 Represents 76,758 of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII and the general partner entities of Fund VIII and Fund VIII LLC, and by Fund VIII LLC.