SEC Form 3 · accession 0001213900-19-000043

Phunware, Inc. · PHUN

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

Reporting owner

Officer — Chief Financial Officer

Period of report

Dec 26, 2018

Accepted (ET)

Jan 2, 2019 · 6:09 pm EST

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 Stock	holding	—	—		—	11,558	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F1	$0.5532	holding	—	—	—	—	Mar 8, 2023	Common Stock	4,590	—	D
Employee Stock Option (right to buy)^F1	$1.3035	holding	—	—	—	—	Sep 10, 2023	Common Stock	22,950	—	D
Employee Stock Option (right to buy)^F2	$0.5229	holding	—	—	—	—	Oct 20, 2025	Common Stock	22,950	—	D
Employee Stock Option (right to buy)^F3	$0.61	holding	—	—	—	—	Jan 8, 2028	Common Stock	114,750	—	D
Warrant (right to buy)^F4	$9.22	holding	—	—	—	—	Jan 25, 2023	Common Stock	2,712	—	D
Warrant (right to buy)^F5	$11.50	holding	—	—	—	—	Dec 26, 2023	Common Stock	7,122	—	D

F1Shares subject to the option are fully vested and immediately exercisable.
F2The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares vested on September 28, 2016 and 1/48th vest monthly thereafter.
F3The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares vested on January 8, 2018 and 1/48th vest monthly thereafter.
F4Shares subject to the warrant are immediately exercisable.
F5Shares subject to the warrant are exercisable beginning on January 26, 2019.

Exhibit 24 - Power of Attorney