0001628280-22-030701.txt : 20221122 0001628280-22-030701.hdr.sgml : 20221122 20221122172138 ACCESSION NUMBER: 0001628280-22-030701 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221118 FILED AS OF DATE: 20221122 DATE AS OF CHANGE: 20221122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KNITOWSKI ALAN S CENTRAL INDEX KEY: 0001244387 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37862 FILM NUMBER: 221411554 MAIL ADDRESS: STREET 1: 2 SAN JOAQUIN PLAZA STREET 2: SUITE 240 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Phunware, Inc. CENTRAL INDEX KEY: 0001665300 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7800 SHOAL CREEK BLVD STREET 2: SUITE 230-S CITY: AUSTIN STATE: X1 ZIP: 78757 BUSINESS PHONE: 512-693-4199 MAIL ADDRESS: STREET 1: 7800 SHOAL CREEK BLVD STREET 2: SUITE 230-S CITY: AUSTIN STATE: X1 ZIP: 78757 FORMER COMPANY: FORMER CONFORMED NAME: Stellar Acquisition III Inc. DATE OF NAME CHANGE: 20160128 4 1 wf-form4_166915568174444.xml FORM 4 X0306 4 2022-11-18 0 0001665300 Phunware, Inc. PHUN 0001244387 KNITOWSKI ALAN S 1002 WEST AVENUE AUSTIN TX 78701 1 1 0 0 Chief Executive Officer Common Stock 2022-11-18 4 M 0 37500 0 A 1270649 D Common Stock 2022-11-18 4 F 0 21027 1.0944 D 1249622 D Common Stock 585589 I See footnote Restricted Stock Units 2022-11-18 4 M 0 37500 0 D Common Stock 37500.0 37500 D Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. The shares were sold in multiple transactions with prices ranging from $1.0832 to $1.0948. 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. 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. Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. 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. /s/ Matt Aune, Attorney-in-Fact 2022-11-22