|
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 | $ 11.50 | 02/19/2019 | X | 1,301,724 | 01/25/2019 | 12/26/2023 | Common Stock | 1,301,724 (2) | $ 0.50 | 0 | I (3) | See Footnote (3) | |||
Warrants to Purchase Common Stock | $ 11.50 | 02/19/2019 | X | 1,695,124 | 01/25/2019 | 12/26/2023 | Common Stock | 1,695,124 (1) | $ 0.50 | 0 | I (3) | See Footnote (3) |
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 |
/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) | On February 19, 2019, the reporting person exercised a warrant to purchase 1,695,124 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 104,779 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 1,590,345 shares |
(2) | On February 19, 2019, the reporting person exercised a warrant to purchase 1,301,724 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 80,462 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 1,221,262 shares |
(3) | George Syllantavos is the sole officer and director of Magellan Investments Corp. and Firmus Investments, Inc. and accordingly is deemed the beneficial owner of the shares held by these organizations and has sole voting and dispositive control over such securities. |