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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to buy) | $ 9.22 | 03/14/2019 | J | 108,261 | 01/25/2018 | 01/25/2023 | Common Stock | 108,261 | $ 9.22 | 0 | I | See footnote (1) | |||
Warrant (right to buy) | $ 9.22 | 03/14/2019 | J | 187,033 | 06/07/2018 | 06/07/2023 | Common Stock | 187,033 | $ 9.22 | 0 | I | See footnote (1) | |||
Warrant (right to buy) | $ 11.5 | 03/14/2019 | J | 176,867 | 01/26/2019 | 12/26/2023 | Common Stock | 176,867 | $ 11.5 | 0 | I | See footnote (1) | |||
Warrant (right to buy) | $ 9.22 | 03/14/2019 | J | 5,500 | 06/07/2018 | 06/07/2023 | Common Stock | 5,500 | $ 9.22 | 5,500 | D (2) | ||||
Warrant (right to buy) | $ 11.5 | 03/14/2019 | J | 9,199 | 01/26/2019 | 12/26/2023 | Common Stock | 9,199 | $ 11.5 | 9,199 | D (2) | ||||
Warrant (right to buy) | $ 9.22 | 03/14/2019 | X | 5,500 | 06/07/2018 | 06/07/2023 | Common Stock | 5,500 | $ 0 | 0 | D (3) | ||||
Warrant (right to buy) | $ 11.5 | 03/14/2019 | X | 9,199 | 01/26/2019 | 12/26/2023 | Common Stock | 8,752 | $ 0 | 0 | D (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Crowder Randall C/O PHUNWARE, INC. 7800 SHOAL CREEK BLVD, SUITE 230-S AUSTIN, TX 78757 |
X | Chief Operating Officer |
/s/ Matt Aune, Attorney-in-Fact | 03/25/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Nove PW LLP, for which the reporting person services as a managing partner, effectuated a transfer of shares and warrants to various individuals, including the reporting person. |
(2) | 36,723 shares of Common Stock and an aggregate of 14,699 warrants to purchase Common Stock were transferred from Nove PW LLP to the reporting person |
(3) | On March 14, 2019, the reporting person exercised a warrant to purchase 5,500 shares of Phunware, Inc. common stock for $9.22 a share. The reporting person paid the exercise price on a cashless basis, resulting in Phunware, Inc.'s withholding of 340 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 5,160 shares |
(4) | On March 14, 2019, the reporting person exercised a warrant to purchase 9,199 shares of Phunware, Inc. common stock for $11.50 a share. The reporting person paid the exercise price on a cashless basis, resulting in Phunware, Inc.'s withholding of 447 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 8,752 shares |