SEC Form 4 · accession 0000899243-17-025694
Funko, Inc. · FNKO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane M Irvine
Director
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 9:00 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Nov 6, 2017 | P | 800 | $12.00 | A | 800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Class A Common StockF1,F2 | $12.00 | Nov 6, 2017 | A | 43,000 | A | — | Oct 31, 2027 | Class A Common Stock | 43,000 | 43,000 | D |
Explanation of responses
- F1The 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.
- F2The Option will vest and become exercisable in eight (8) equal quarterly installments on the last business day of each calendar quarter following the Pricing Date, subject to the Reporting Person's continued service with the Issuer through each applicable vesting date.