SEC Form 4 · accession 0000899243-17-025649

Funko, Inc. · FNKO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — See Remarks

Period of report

Nov 1, 2017

Accepted (ET)

Nov 8, 2017 · 7:57 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001704711

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 1, 2017	D	100	$0.0001	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Class A Common Stock^F2,F3	$12.00	Nov 6, 2017	A	103,000	A	—	Oct 31, 2027	Class A Common Stock	103,000	103,000	D

F1The reported securities represent shares of Common Stock of the Issuer, which were redeemed by the Issuer at a price equal to their par value in connection with the filing of its Amended and Restated Certificate of Incorporation on November 1, 2017. This transaction occurred prior to the registration of the Issuer's Class A Common Stock under Section 12 of the Securities Exchange Act of 1934, as amended.
F2The Option was granted effective November 1, 2017 (the "Pricing Date"), subject to the closing of the Issuer's initial public offering, which occurred on November 6, 2017.
F3The Option will vest and become exercisable with respect to twenty-five percent (25%) of the shares subject thereto on the first anniversary of the Pricing Date, and the remaining 75% of the shares subject to the Option will vest in thirty-six (36) equal installments on each monthly anniversary following the first anniversary of the Pricing Date, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.

Senior Vice President, General Counsel and Secretary