SEC Form 5 · accession 0000899243-19-003619
Funko, Inc. · FNKO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Richard Mariotti
Officer — Chief Executive Officer · Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 4:32 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 B Common Stock | Jul 18, 2018 | G | 561,134 | $0.00 | D | 3,181,689 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common UnitsF2,F3 | — | Jul 18, 2018 | G | 561,134 | D | — | — | Class A Common Stock | 561,134 | 3,908,496 | D |
Explanation of responses
- F1561,134 shares of Class B Common Stock of the Issuer, par value $0.0001 per share (the "Class B Common Stock") and 561,134 Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") were transferred to a trust over which the Reporting Person has no control.
- F23,666,227 Common Units are vested and 242,269 Common Units will vest on December 21, 2019, subject to the Reporting Person's continued service with the Issuer. The Common Units have no expiration date.
- F3The vested Common Units may be redeemed by the Reporting Person at any time for an equal number of shares of Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock") or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares.