SEC Form 3 · accession 0001213900-19-000036

Phunware, Inc. · PHUN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Dec 26, 2018

Accepted (ET)

Jan 2, 2019 · 5:59 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001665300

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	338,946	I	See footnote
Common Stock^F2	holding	—	—	—	10,545	I	See footnote
Common Stock^F3	holding	—	—	—	2,636	I	See footnote
Common Stock^F4	holding	—	—	—	2,636	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F5	$0.5532	holding	—	—	—	—	Feb 24, 2023	Common Stock	114,750	—	D
Employee Stock Option (right to buy)^F6	$0.61	holding	—	—	—	—	Jan 8, 2028	Common Stock	293,760	—	D
Warrant (right to buy)^F1,F7	$9.22	holding	—	—	—	—	Jan 25, 2023	Common Stock	2,712	—	I
Warrant (right to buy)^F2,F7	$9.22	holding	—	—	—	—	Jan 25, 2023	Common Stock	10,850	—	I
Warrant (right to buy)^F3,F7	$9.22	holding	—	—	—	—	Jan 25, 2023	Common Stock	2,712	—	I
Warrant (right to buy)^F1,F8	$11.50	holding	—	—	—	—	Dec 26, 2023	Common Stock	208,892	—	I
Warrant (right to buy)^F2,F8	$11.50	holding	—	—	—	—	Dec 26, 2023	Common Stock	6,499	—	I
Warrant (right to buy)^F3,F8	$11.50	holding	—	—	—	—	Dec 26, 2023	Common Stock	1,624	—	I
Warrant (right to buy)^F4,F8	$11.50	holding	—	—	—	—	Dec 26, 2023	Common Stock	1,624	—	I

F1The shares are held of record by Cane Capital, LLC for which the reporting person serves as president.
F2The shares are held of record by Curo Capital Appreciation Fund I, LLC (Fund 2) for which the reporting person serves as president.
F3The shares are held of record by Curo Capital Appreciation Fund I, LLC (#1) for which the reporting person serves as president.
F4The shares are held of record by Curo Capital Appreciation Fund I, LLC (Fund 1) for which the reporting person serves as president.
F5Shares subject to the option are fully vested and immediately exercisable.
F6The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares vested on January 1, 2018 and 1/48th vest monthly thereafter.
F7Shares subject to the warrant are immediately exercisable.
F8Shares subject to the warrant are exercisable beginning on January 26, 2019.

Exhibit 24 - Power of Attorney