SEC Form 4 · accession 0000899243-18-029055
Funko, Inc. · FNKO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Mark Perlmutter
Officer — PRESIDENT
Period of report
Oct 1, 2018
Accepted (ET)
Nov 15, 2018 · 6:58 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 StockF1 | Oct 1, 2018 | M | 56,250 | — | A | 56,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Oct 1, 2018 | M | 56,250 | D | — | — | Class A Common Stock | 56,250 | 168,750 | D |
Explanation of responses
- F1Restricted stock units convert into Class A Common Stock on a one-for-one basis.
- F2On June 27, 2018, the Reporting Person was granted 225,000 restricted stock units, vesting in four equal annual installments on each of the first through fourth anniversaries of October 1, 2017, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.