SEC Form 4/A · accession 0001213900-19-002596
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
Prokopios Akis Tsirigakis
Director · 10% Owner
Period of report
Dec 26, 2018
Accepted (ET)
Feb 14, 2019 · 4:41 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.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common StockF1,F3,F2 | $11.50 | Dec 26, 2018 | J | 1,992,622 | D | Jan 25, 2019 | Dec 26, 2023 | Common Stock | 1,992,622 | 2,362,251 | I |
| Warrants to Purchase Common StockF4,F2 | $11.50 | Dec 26, 2018 | J | 352,473 | A | Jan 25, 2019 | Dec 26, 2023 | Common Stock | 352,473 | 2,714,724 | I |
Explanation of responses
- 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.
- F2Prokopios (Akis) Tsirigakis is the sole officer and director Astra Maritime Corp and Dominium 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 4,354,873 shares as a result of typographical error as explained in item (1) above.
- F4The Sponsors were transferred 352,473 warrants to purchase common stock by George Syllantavos.