SEC Form 4 · accession 0001213900-16-017212
Phunware, Inc. · PHUN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
George Syllantavos
Officer — Co-CEO, CFO and Secretary · Director · 10% Owner
Firmus Investments Inc
10% Owner
Magellan Investments Corp
10% Owner
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001665300
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 28, 2016 | J | 36,887 | $0.00 | D | 443,157 | I | See Footnote |
| Common StockF2 | Sep 28, 2016 | J | 38,303 | $0.00 | D | 460,162 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As contemplated in connection with the initial public offering of the issuer, 36,387 shares of common stock of the issuer were returned by Magellan Investments Corp. to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. George Syllantavos is the sole officer and director of Magellan Investments Corp.
- F2As contemplated in connection with the initial public offering of the issuer, 38,303 shares of common stock of the issuer were returned by Firmus Investments Inc. to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. George Syllantavos is the sole officer and director of Firmus Investments Inc.