SEC Form 4 · accession 0000899243-19-006438
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
Mar 4, 2019
Accepted (ET)
Mar 6, 2019 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001704711
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Mar 4, 2019 | A | 5,470 | A | — | — | Class A Common Stock | 5,470 | 5,470 | D |
| Option to Purchase Class A Common StockF2 | $19.89 | Mar 4, 2019 | A | 49,700 | A | — | Mar 4, 2029 | Class A Common Stock | 49,700 | 49,700 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock or, at the election of the Issuer, an equivalent cash payment. The RSUs vest in four equal installments on each of the first through fourth anniversaries of March 4, 2019, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.
- F2The option will vest and become exercisable with respect to 25% of the shares subject thereto on March 4, 2020 and the remaining 75% of the option will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.
Remarks
Senior Vice President, General Counsel and Secretary