Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Phunware, Inc.PHUN · Entity 7291 | Chief Technology Officer | November 18, 2022 | November 22, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Phunware, Inc.
Report date November 18, 2022 · Filed November 22, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,599,906 |
Ending reported balance
After 2022-11-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-11-18 · Exercise / conversion · Acquired 14,583 · Balance 1,605,320 Row 2 · 2022-11-18 · Tax withholding · Disposed 5,414 · Balance 1,599,906 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 $1.0806 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,583 |
Reported balance
After 2022-11-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-11-18 · Exercise / conversion · Disposed 14,583 · Balance 14,583 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 43,750 |
Reported balance
Holding disclosure · report date 2022-11-18 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 43,750 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
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 $1.0806 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.
F3: 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.
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 18, 2022 Filed Nov 22, 2022 17:21 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-030700 · wf-form4_166915566564422.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,583 Underlying: Common Stock · 14,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 17:21 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,414 | $1.09 | $5,924.54 |
DisclosureSEC source: 0001628280-22-030700 · wf-form4_166915566564422.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,599,906 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The shares were sold in multiple transactions with prices ranging from $1.0806 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. Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 17:21 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-030700 · wf-form4_166915566564422.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,605,320 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 21:07 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 22,317 | $1.29 | $28,737.60 |
DisclosureSEC source: 0001628280-22-029942 · wf-form4_166847798616174.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,590,737 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The shares were sold in multiple transactions with prices ranging from $1.2522 to $1.2937. 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. Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:52 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,473 | $1.43 | $7,840.07 |
DisclosureSEC source: 0001628280-22-023439 · wf-form4_166120512518291.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,613,054 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The shares were sold in multiple transactions with prices ranging from $1.3834 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. Read SEC document |
| August 18, 2022 Filed Aug 22, 2022 17:52 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-023439 · wf-form4_166120512518291.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,166 Underlying: Common Stock · 14,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. Read SEC document |
| August 18, 2022 Filed Aug 22, 2022 17:52 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-023439 · wf-form4_166120512518291.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,618,527 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 11, 2022 Filed Aug 12, 2022 16:47 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 18,327 | $1.78 | $32,554.25 |
DisclosureSEC source: 0001628280-22-022710 · wf-form4_166033720643722.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,603,944 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The price reported in Table I, box 4 above reflects the actual per share sales price of the shares disposed. Read SEC document |
| May 19, 2022 Filed May 20, 2022 16:26 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,275 | $1.40 | $7,386.06 |
DisclosureSEC source: 0001628280-22-015057 · wf-form4_165307835342987.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,622,271 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The shares were sold in multiple transactions with prices ranging from $1.4001 to $1.4024. 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:26 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-015057 · wf-form4_165307835342987.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,749 Underlying: Common Stock · 14,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:26 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-015057 · wf-form4_165307835342987.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,627,546 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 10, 2022 Filed May 12, 2022 18:02 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 59,131 | $1.60 | $94,526.82 |
DisclosureSEC source: 0001628280-22-014162 · wf-form4_165239292777867.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,612,963 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. F2 · price: The shares were sold in multiple transactions with prices ranging from $1.555 to $1.5998. 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. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,750 | $0.00 Strike: $0.61 | $0.00 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · derivative · entry 7 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,408 Underlying: Common Stock · 3,750 shares Expires 2028-01-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | GiftCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · nonDerivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,672,094 F2 · kind: Represents a gift which was effected pursuant to a transfer of shares to an individual to which the Reporting Person has no beneficial ownership. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 3,750 | $0.61 | $2,287.50 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · nonDerivative · entry 3 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,675,844 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · derivative · entry 6 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,332 Underlying: Common Stock · 14,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F5 · derivative.exercise_date: The restricted stock units (RSUs) represent the amount of shares of the Issuer's common stock that were delivered to the Reporting Person on the date notated in Table I, Box 2 above for previous RSUs granted to the Reporting Person. F5 · derivative.expiration_date: The restricted stock units (RSUs) represent the amount of shares of the Issuer's common stock that were delivered to the Reporting Person on the date notated in Table I, Box 2 above for previous RSUs granted to the Reporting Person. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,156 | $3.81 | $19,631.99 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,672,094 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 21:40 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-024086 · wf-form4_163772159372458.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,677,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 19, 2021 Filed Aug 20, 2021 16:32 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,415 | $0.85 | $4,578.38 |
DisclosureSEC source: 0001628280-21-017425 · wf-form4_162949148797553.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,662,667 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 16:32 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-017425 · wf-form4_162949148797553.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,915 Underlying: Common Stock · 14,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 16:32 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-017425 · wf-form4_162949148797553.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,668,082 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:27 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 14,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-010820 · wf-form4_162155683931816.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,498 Underlying: Common Stock · 14,584 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:27 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 5,626 | $1.27 | $7,138.83 |
DisclosureSEC source: 0001628280-21-010820 · wf-form4_162155683931816.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,653,499 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:27 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 14,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-010820 · wf-form4_162155683931816.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,659,125 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 04, 2021 Filed Feb 5, 2021 17:14 UTC | Phunware, Inc. PHUN · Entity 7291 | GrantCommon Stock | 642,421 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-001560 · wf-form4_161256325172116.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,644,541 F1 · security: On February 4, 2021, the reporting person was granted the number of restricted stock units ("RSUs") in Table 1, Box 4 above, each of which represents a contingent right to receive one share of Phunware, Inc. common stock. One-quarter of the RSUs vest on May 9, 2022 and 1/12 of the RSUs will vest quarterly in equal installments beginning on August 8, 2022 with the final vesting date occurring on May 8, 2025. Vesting is subject to the reporting person's continued service on such vesting date. Notwithstanding the foregoing vesting schedule, in the event of a change of control, 100% of the remaining unvested RSUs shall immediately become fully vested, subject to the reporting person continuing to provide service through such date. Read SEC document |
| November 18, 2020 Filed Nov 20, 2020 17:09 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 39,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-016679 · wf-form4_160591016448667.xml · derivative · entry 3 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,082 Underlying: Common Stock · 39,417 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| November 18, 2020 Filed Nov 20, 2020 17:09 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 39,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-016679 · wf-form4_160591016448667.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,002,120 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 19:18 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 39,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-012957 · wf-form4_159796548237531.xml · derivative · entry 4 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,499 Underlying: Common Stock · 39,417 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 19:18 UTC | Phunware, Inc. PHUN · Entity 7291 | Tax withholdingCommon Stock | 13,952 | $1.29 | $18,028.77 |
DisclosureSEC source: 0001628280-20-012957 · wf-form4_159796548237531.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962,703 F1 · shares: Represents shares surrendered by the Reporting Person for withholding of taxes pursuant to the terms of the Issuer's 2018 Equity Incentive Plan. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 19:18 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 39,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-012957 · wf-form4_159796548237531.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 976,655 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2020 Filed May 20, 2020 19:22 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionRestricted Stock Units · Derivative | 68,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-008154 · wf-form4_159001695437157.xml · derivative · entry 3 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,916 Underlying: Common Stock · 68,584 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F3 · derivative.exercise_date: The restricted stock units (RSUs) represent the amount of RSUs that vested on May 18, 2020 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. F3 · derivative.expiration_date: The restricted stock units (RSUs) represent the amount of RSUs that vested on May 18, 2020 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. Read SEC document |
| May 18, 2020 Filed May 20, 2020 19:22 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 68,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-008154 · wf-form4_159001695437157.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 937,238 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 07:03 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 81,967 | $0.00 Strike: $0.61 | $0.00 |
DisclosureSEC source: 0001628280-19-014264 · wf-form4_157381936755535.xml · derivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,158 Underlying: Common Stock · 81,967 shares Expires 2028-01-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 07:03 UTC | Phunware, Inc. PHUN · Entity 7291 | Exercise / conversionCommon Stock | 81,967 | $0.61 | $49,999.87 |
DisclosureSEC source: 0001628280-19-014264 · wf-form4_157381936755535.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 868,654 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This figure has been corrected to reduce the beneficial total of direct ownership of this holding by 43,750, which were indirectly acquired by affiliates of the reporting person as reported on the Form 4 filed on August 15, 2019. Read SEC document |
| August 15, 2019 Filed Aug 15, 2019 16:21 UTC | Phunware, Inc. PHUN · Entity 7291 | PurchaseCommon Stock | 11,750 | $1.35 | $15,862.50 |
DisclosureSEC source: 0001628280-19-010831 · wf-form4_156590045973989.xml · nonDerivative · entry 3 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 830,437 F3 · ownership.nature: The shares are held of record by Curo Capital Appreciation Fund I, LLC (Fund 3) for which the Reporting Person serves as president. Read SEC document |
| August 15, 2019 Filed Aug 15, 2019 16:21 UTC | Phunware, Inc. PHUN · Entity 7291 | PurchaseCommon Stock | 20,000 | $1.35 | $27,000.00 |
DisclosureSEC source: 0001628280-19-010831 · wf-form4_156590045973989.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 818,687 F2 · ownership.nature: The shares are held of record by Curo Capital Appreciation Fund I, LLC (Fund 2) for which the Reporting Person serves as president. Read SEC document |
| August 15, 2019 Filed Aug 15, 2019 16:21 UTC | Phunware, Inc. PHUN · Entity 7291 | PurchaseCommon Stock | 12,000 | $1.35 | $16,200.00 |
DisclosureSEC source: 0001628280-19-010831 · wf-form4_156590045973989.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 798,687 F1 · ownership.nature: The shares are held of record by Curo Capital Appreciation Fund I, LLC (Fund 1) for which the Reporting Person serves as president. Read SEC document |
| July 30, 2019 Filed Jul 31, 2019 17:28 UTC | Phunware, Inc. PHUN · Entity 7291 | GrantCommon Stock · Derivative | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-009496 · wf-form4_156460850903771.xml · derivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,500 Underlying: Common Stock · 175,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F2 · derivative.exercise_date: The restricted stock units will vest in a series of ten installments beginning on May 18, 2020, such that the restricted stock units will become fully vested on May 18, 2023. The restricted stock units will be settled in shares of common stock that will be delivered to the Reporting Person shortly after each vesting date. F2 · derivative.expiration_date: The restricted stock units will vest in a series of ten installments beginning on May 18, 2020, such that the restricted stock units will become fully vested on May 18, 2023. The restricted stock units will be settled in shares of common stock that will be delivered to the Reporting Person shortly after each vesting date. Read SEC document |
| May 24, 2019 Filed May 24, 2019 17:42 UTC | Phunware, Inc. PHUN · Entity 7291 | OtherCommon Stock | 955 | $11.50 | $10,982.50 |
DisclosureSEC source: 0001213900-19-009599 · ownership.xml · nonDerivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 786,687 F1 · ownership.direct: An aggregate of 3,998 shares of Common Stock were transferred from Curo Capital Appreciation Fund I, LLC (#1), Curo Capital Appreciation Fund I, LLC (Fund 1) and Curo Capital Appreciation Fund I, LLC (Fund 2) to the Reporting Person. Read SEC document |
| May 24, 2019 Filed May 24, 2019 17:42 UTC | Phunware, Inc. PHUN · Entity 7291 | OtherCommon Stock | 3,043 | $9.22 | $28,056.46 |
DisclosureSEC source: 0001213900-19-009599 · ownership.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 785,689 F1 · ownership.direct: An aggregate of 3,998 shares of Common Stock were transferred from Curo Capital Appreciation Fund I, LLC (#1), Curo Capital Appreciation Fund I, LLC (Fund 1) and Curo Capital Appreciation Fund I, LLC (Fund 2) to the Reporting Person. Read SEC document |
| May 08, 2019 Filed May 24, 2019 17:42 UTC | Phunware, Inc. PHUN · Entity 7291 | GrantRestricted Stock Units · Derivative | 74,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-009599 · ownership.xml · derivative · entry 3 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,500 Underlying: Common Stock · 74,500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Phunware, Inc. common stock. F3 · derivative.exercise_date: The restricted stock units will vest in a series of six equal installments beginning on May 18, 2020, so that the restricted stock units will become fully vested on November 18, 2021. The restricted stock units will be settled in shares of common stock that will be delivered to the Reporting Person shortly after each vesting date. F3 · derivative.expiration_date: The restricted stock units will vest in a series of six equal installments beginning on May 18, 2020, so that the restricted stock units will become fully vested on November 18, 2021. The restricted stock units will be settled in shares of common stock that will be delivered to the Reporting Person shortly after each vesting date. Read SEC document |
| February 19, 2019 Filed Mar 25, 2019 20:54 UTC | Phunware, Inc. PHUN · Entity 7291 | OtherWarrant (right to buy) · Derivative | 105,688 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001213900-19-004806 · ownership.xml · derivative · entry 2 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 105,688 shares Expires 2023-12-26 F1 · ownership.direct: On February 19, 2019, the reporting person exercised a warrant to purchase 105,688 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 6,533 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 99,155 shares Read SEC document |
| February 19, 2019 Filed Mar 25, 2019 20:54 UTC | Phunware, Inc. PHUN · Entity 7291 | OtherCommon Stock | 99,155 | $11.50 | $1,140,282.50 |
DisclosureSEC source: 0001213900-19-004806 · ownership.xml · nonDerivative · entry 1 Dang Luan · CIK 0001290255 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 782,689 F1 · ownership.direct: On February 19, 2019, the reporting person exercised a warrant to purchase 105,688 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 6,533 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 99,155 shares Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.