Filing Details

Accession Number:
0000899243-19-003535
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-13 21:30:48
Reporting Period:
2019-02-11
Accepted Time:
2019-02-13 21:30:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1704711 Funko Inc. FNKO Games, Toys & Children's Vehicles (No Dolls & Bicycles) (3944) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1719500 L. Richard Mcnally 4 Embarcadero Center, Suite 1400
San Francisco, CA 94111
No No Yes No
1720908 Fundamental Capital Partners, Llc 4 Embarcadero Center, Suite 1400
San Francisco CA 94111
No No Yes No
1720926 Funko International, Llc 4 Embarcadero Center, Suite 1400
San Francisco CA 94111
No No Yes No
1720927 G. Kevin Keenley 4 Embarcadero Center, Suite 1400
San Francisco CA 94111
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2019-02-11 270,000 $0.00 270,000 No 4 C Indirect By Fundamental Capital, LLC
Class B Common Stock Disposition 2019-02-11 270,000 $0.00 973,138 No 4 D Indirect By Fundamental Capital, LLC
Class A Common Stock Disposition 2019-02-11 5,903 $17.49 264,097 No 4 S Indirect By Fundamental Capital, LLC
Class A Common Stock Disposition 2019-02-12 12,097 $18.11 252,000 No 4 S Indirect By Fundamental Capital, LLC
Class A Common Stock Disposition 2019-02-13 9,000 $18.45 243,000 No 4 S Indirect By Fundamental Capital, LLC
Class A Common Stock Acquisiton 2019-02-11 1,230,000 $0.00 1,230,000 No 4 C Indirect By Fundamental Capital, LLC
Class B Common Stock Disposition 2019-02-11 1,230,000 $0.00 4,456,538 No 4 D Indirect By Funko International, LLC
Class A Common Stock Disposition 2019-02-11 26,891 $17.49 1,203,109 No 4 S Indirect By Funko International, LLC
Class A Common Stock Disposition 2019-02-12 55,109 $18.11 1,148,000 No 4 S Indirect By Funko International, LLC
Class A Common Stock Disposition 2019-02-13 41,000 $18.45 1,107,000 No 4 S Indirect By Funko International, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Fundamental Capital, LLC
No 4 D Indirect By Fundamental Capital, LLC
No 4 S Indirect By Fundamental Capital, LLC
No 4 S Indirect By Fundamental Capital, LLC
No 4 S Indirect By Fundamental Capital, LLC
No 4 C Indirect By Fundamental Capital, LLC
No 4 D Indirect By Funko International, LLC
No 4 S Indirect By Funko International, LLC
No 4 S Indirect By Funko International, LLC
No 4 S Indirect By Funko International, LLC
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Common Units Disposition 2019-02-11 270,000 $0.00 270,000 $0.00
Class A Common Stock Common Units Disposition 2019-02-11 1,230,000 $0.00 1,230,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
973,138 No 4 C Indirect
4,456,538 No 4 C Indirect
Footnotes
  1. Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), on a one-for-one basis.
  2. Fundamental Capital, LLC ("Fundamental Capital") is the Manager of Funko International, LLC ("Funko International") and Fundamental Capital Partners, LLC ("FCP") is the Manager of Fundamental Capital. Richard McNally and Kevin Keenley are the sole members of and hold voting membership interests in FCP. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interests therein, if any.
  3. Shares of Class B common stock, par value $0.0001 per share ("Class B Common Stock") (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof, and (iii) may only be issued, on a one-for-one basis, to the permitted holders of Common Units.
  4. Reflects the cancellation for no consideration of a number of shares of Class B Common Stock in connection with the redemption by the Reporting Person of an equal number of Common Units for Class A Common Stock.
  5. The Form 3 filed by the Reporting Persons on 11/02/2017 reported ownership on a combined basis by Fundamental Capital and Funko International of their shares of Class B Common Stock in Table I and Common Units in Table II, with corresponding footnotes explaining their respective holdings. For this Form 4, their respective holdings are reported in separate rows in Table I and Table II.
  6. The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $17.25 to $17.66, 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.
  7. The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $17.51 to $18.40, 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.
  8. The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $18.02 to $18.67, 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.