Luan Dang - 18 Aug 2021 Form 4 Insider Report for Phunware, Inc. (PHUN)

Role
Chief Technology Officer
Signature
/s/ Matt Aune, Attorney-in-Fact
Issuer symbol
PHUN
Transactions as of
18 Aug 2021
Transactions value $
-$4,578
Form type
4
Filing time
20 Aug 2021, 16:32:05 UTC
Previous filing
20 May 2021
Next filing
23 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PHUN Common Stock Options Exercise $0 +14,583 +0.88% $0 1,668,082 18 Aug 2021 Direct
transaction PHUN Common Stock Tax liability -$4,578 -5,415 -0.32% $0.8455 1,662,667 19 Aug 2021 Direct F1
holding PHUN Common Stock 43,750 18 Aug 2021 See footnote F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PHUN Restricted Stock Units Options Exercise $0 -14,583 -17% $0 72,915 18 Aug 2021 Common Stock 14,583 Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 are 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.
F3 Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock.
F4 The restricted stock units (RSUs) represent the amount of RSUs that vested on on the date notated in Table I, Box 2 above for previous RSUs granted to the Reporting Person. The restricted stock units will be settled in shares of common stock that will be delivered to the Reporting Person shortly after the vesting date.