|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants to Purchase Common Stock | $ 11.5 | 12/26/2018 | J | 1,992,622 (1) | 01/25/2019 | 12/26/2023(1) | Common Stock | 1,992,622 (1) | $ 0.50 | 3,539,470 (3) | I (2) | See Footnote (2) | |||
Warrants to Purchase Common Stock | $ 11.5 | 12/26/2018 | J | 352,473 (4) | 01/25/2019 | 12/26/2023 | Common Stock | 352,473 (4) | $ 0.50 | 3,186,997 | I (2) | See Footnote (2) | |||
Warrants to Purchase Common Stock | $ 11.5 | 12/26/2018 | J | 190,147 (5) | 01/25/2019 | 12/26/2023 | Common Stock | 190,149 (5) | $ 0.50 | 2,996,850 | I (2) | See Footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Syllantavos George C/O PHUNWARE, INC. 7800 SHOAL CREEK BLVD, SUITE 230-S AUSTIN, TX 78757 |
X | X |
/s/ Matt Aune, Attorney-in-Fact | 02/13/2019 | |
**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) | The 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. |
(2) | George 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. |
(3) | The 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. |
(4) | The Reporting Person transferred 352,473 warrants to purchase common stock to Prokopios (Akis) Tsirigakis. |
(5) | To 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. |