SEC Form 4 · accession 0002084455-26-000005
Funko, Inc. · FNKO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Josh Simon
Officer — Chief Executive Officer · Director
Period of report
Sep 1, 2026
Accepted (ET)
Sep 3, 2026 · 7:48 pm EDT
Rule 10b5-1 plan
box not checked
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 1, 2026 | M | 250,000 | $0.00 | A | 250,000 | D | |
| CLASS A COMMON STOCK | Sep 1, 2026 | M | 83,333 | $0.00 | A | 333,333 | 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 | — | Sep 1, 2026 | M | 250,000 | D | — | — | CLASS A COMMON STOCK | 250,000 | 750,000 | D |
| Restricted Stock UnitsF1,F3,F4 | — | Sep 1, 2026 | M | 83,333 | D | — | — | CLASS A COMMON STOCK | 83,333 | 666,667 | 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.
- F2The original grant of 1,000,000 RSUs has vested or will vest in four equal installments on each of the first through fourth anniversaries of September 1, 2025, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date, provided that the RSUs vest in full upon a change in control).
- F3The original grant of 750,000 RSUs has vested or will vest on the following terms: (A) 1/3 of the RSUs vest in three equal annual installments on each of the first three anniversaries of September 1, 2025, (B) 1/3 of the RSUs vest based on the achievement of a stock price hurdle equal to or greater than $8.00 per share based on (I) the average of the Companys closing share price over a 45 trading day trailing average or (II) the price received by holders of Class A common stock in connection with a change in control for each share of Class A common stock held on the date of such change in control, and (C) the remaining 1/3 of the RSUs vest based on the achievement of a stock price hurdle equal to or greater than $20.00 per share based on (I) the average of the Companys closing share price over a 45 trading day trailing average or (II) the price received by holders of Class A common stock in connection with a change in control for each share of Class A common stock held on the
- F4(continued from Footnote 3) date of such change in control, which stock price hurdles must be achieved prior to the seventh anniversary of September 1, 2025, and in each case subject to Reporting Person's continued service through the applicable vesting dates.