SEC Form 3 · accession 0001213900-19-000044
Phunware, Inc. · PHUN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall Crowder
Officer — Chief Operating Officer · Director
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 StockF1 | holding | — | — | — | 286,982 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $0.61 | holding | — | — | — | — | Feb 14, 2028 | Common Stock | 229,500 | — | D |
| Warrant (right to buy)F1,F3 | $9.22 | holding | — | — | — | — | Jan 25, 2023 | Common Stock | 108,261 | — | I |
| Warrant (right to buy)F1,F3 | $9.22 | holding | — | — | — | — | Jun 7, 2023 | Common Stock | 187,033 | — | I |
| Warrant (right to buy)F1,F4 | $11.50 | holding | — | — | — | — | Dec 26, 2023 | Common Stock | 176,867 | — | I |
Explanation of responses
- F1The shares are held of record by Nove PW I LP for which the reporting person serves as a managing partner.
- F2The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares vest on February 5, 2019 and 1/48th vest monthly thereafter.
- F3Shares subject to the warrant are immediately exercisable.
- F4Shares subject to the warrant are exercisable beginning on January 26, 2019.
Remarks
Exhibit 24 - Power of Attorney