SEC Form 4 · accession 0000899243-18-024805
Funko, Inc. · FNKO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy D Daw
Officer — SEE REMARKS
Period of report
Sep 18, 2018
Accepted (ET)
Sep 19, 2018 · 8:34 pm EDT
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 | Sep 18, 2018 | C | 10,000 | $0.00 | A | 10,000 | D | |
| CLASS B COMMON STOCK | Sep 18, 2018 | D | 10,000 | $0.00 | D | 33,436 | D | |
| CLASS A COMMON STOCKF4 | Sep 18, 2018 | S | 1,700 | $19.7335 | D | 8,300 | D | |
| CLASS A COMMON STOCKF5 | Sep 18, 2018 | S | 8,300 | $20.4833 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common UnitsF1 | — | Sep 18, 2018 | C | 10,000 | D | — | — | Class A Common Stock | 10,000 | 91,063 | D |
Explanation of responses
- F1Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for Class A common stock of the Issuer, par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis.
- F2Reflects the cancellation for no consideration of a number shares of Class B Common Stock of the Issuer, par value $0.0001 per share, in connection with the redemption by the Reporting Person of an equal number of Common Units for Class A Shares.
- F3The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 17, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.15 to $20.03, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.17 to $21.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Remarks
Senior Vice President, General Counsel and Secretary