SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
CNH Capital Co Ltd

(Last) (First) (Middle)
9F GOLDEN TOWER 511
SAMSEONG-RO, GANGNAM-GU

(Street)
SEOUL M5 06158

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/04/2021
3. Issuer Name and Ticker or Trading Symbol
PubMatic, Inc. [ PUBM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 630,000 I See Note(5)
Class A Common Stock 30,000 I See Note(2)
Class A Common Stock 55,050 I See Note(3)
Class A Common Stock 25,000 I See Note(4)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Contract For Difference (6) (6) Class A Common Stock 40,500 (6) I See Note(5)
Contract For Difference (6) (6) Class A Common Stock 13,000 (6) I See Note(1)
Explanation of Responses:
1. Directly by Granite Holdings Co, Ltd. ("Granite"). CNH Co., Ltd. ("CNH") is a subsidiary of Granite. Each of CNH Capital Co., Ltd. ("CNH Capital") and CNH Hospitality Co., Ltd. ("CNH Hospitality") is a subsidiary of CNH. Duk Ho Cho is the majority shareholder of Granite and chairperson of CNH. Because of the relationships described herein, Mr. Cho may be deemed to beneficially own the securities beneficially owned by Granite, Granite may be deemed to beneficially own the securities beneficially owned by CNH and CNH may be deemed to beneficially own the securities held by each of CNH Capital and CNH Hospitality. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
2. Directly held by CNH.
3. Directly held by CNH Capital.
4. Directly held by CNH Hospitality.
5. Directly held by Duk Ho Cho
6. A Contract For Differences ("CFD") is a financial contract that pays the difference in the settlement price between the open and closing trades. CFDs have no maturity and can be closed at the option of the Reporting Person.
CNH Capital Co., Ltd., By: /s/ Woo Seob Kwak, Chief Executive Officer 03/18/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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