SEC Form 4/A · accession 0001213900-19-002592

Phunware, Inc. · PHUN

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Director · 10% Owner

Period of report

Dec 26, 2018

Accepted (ET)

Feb 14, 2019 · 4:39 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001665300

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants to Purchase Common Stock^F1,F3,F2	$11.50	Dec 26, 2018	J	1,992,622	D	Jan 25, 2019	Dec 26, 2023	Common Stock	1,992,622	3,539,470	I
Warrants to Purchase Common Stock^F4,F2	$11.50	Dec 26, 2018	J	352,473	D	Jan 25, 2019	Dec 26, 2023	Common Stock	352,473	3,186,997	I
Warrants to Purchase Common Stock^F5,F2	$11.50	Dec 26, 2018	J	190,147	D	Jan 25, 2019	Dec 26, 2023	Common Stock	190,149	2,996,850	I

F1The number of derivative securities (and underlying securities) acquired on December 26, 2018 and listed on the Form 4 filed for the Reporting Person on December 28, 2018 was incorrectly listed as 3,985,244 shares and provided an expiration date of 8/23/2021 as a result of a typographical error.
F2George Syllantavos is the sole officer and director of Magellan Investments Corp. and Firmus Investments, Inc. (the "Sponsors") and accordingly is deemed the beneficial owner of the shares held by these organizations and has sole voting and dispositive control over such securities.
F3The number of shares underlying the warrants was previously listed on the Form 4 filed for the Reporting Person on December 28, 2018, as 5,532,092 shares as a result of typographical error.
F4The Reporting Person transferred 352,473 warrants to purchase common stock to Prokopios (Akis) Tsirigakis.
F5To facilitate the business combination (the "Business Combination") between Phunware, Inc. (formerly Stellar Acquisition III Inc.) and Phunware OpCo, Inc. (formerly Phunware, Inc.) consummated on December 26, 2018, the Sponsors agreed to assign 190,149 of the warrants it previously held to certain service providers.