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Phunware, Inc. — Director's Dealing 2022
Aug 22, 2022
34509_dirs_2022-08-22_8337eb92-19c6-4789-901a-fc9f1a3a61ff.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Phunware, Inc. (PHUN)
CIK: 0001665300
Period of Report: 2022-08-18
Reporting Person: KNITOWSKI ALAN S (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-08-18 | Common Stock | M | 37500 | — | Acquired | 1282325 | Direct |
| 2022-08-19 | Common Stock | F | 9901 | $1.4323 | Disposed | 1272424 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-08-18 | Restricted Stock Units | $ | M | 37500 | Disposed | Common Stock (37500.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 585589 | Indirect |
Footnotes
F1: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan.
F2: The shares were sold in multiple transactions with prices ranging from $1.38 to $1.4348. The reporting person undertakes to provide to Phunware, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this Form 4.
F3: Consists of (i) 539,867 shares held of record by Cane Capital, LLC, for which the Reporting Person serves as president, (ii) 43,750 shares held of record by Curo Capital Appreciation Fund I, LLC (Fund 1, Fund 2 and Fund 3), for which the Reporting Person serves as co-president, (iii) 1,972 shares held of record by Knitowski Childrens Trust, for which the Reporting Person serves as president.
F4: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock.
F5: The restricted stock units (RSUs) represent the amount of RSUs that vested on the date notated in Table I, Box 2 above for a RSU grant previously awarded to the Reporting Person. The RSUs will be settled in shares of common stock that will be delivered to the Reporting Person shortly after the vesting date.