- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2019-09-24 17:28:33
- Reporting Period:
- Accepted Time:
- 2019-09-24 17:28:33
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1704711||Funko Inc.||FNKO||Games, Toys & Children's Vehicles (No Dolls & Bicycles) (3944)||000000000|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1719494||Richard Brian Mariotti||C/o Funko, Inc. |
2802 Wetmore Avenue
Everett WA 98201
|Chief Executive Officer||Yes||Yes||No||No|
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Class A Common Stock||Acquisiton||2019-09-20||50,000||$0.00||58,665||No||4||C||Direct|
|Class B Common Stock||Disposition||2019-09-20||50,000||$0.00||2,581,689||No||4||D||Direct|
|Class A Common Stock||Disposition||2019-09-20||23,344||$22.10||35,321||No||4||S||Direct|
|Class A Common Stock||Disposition||2019-09-20||26,656||$23.21||8,665||No||4||S||Direct|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Class A Common Stock||Common Units||Disposition||2019-09-20||50,000||$0.00||50,000||$0.00|
|Remaning Holdings||Exercise Date||Expiration Date||Equity Swap Involved||Transaction Form Type||Transaction Code||Nature of Ownership|
- Vested Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for Class A common stock of Funko, Inc. (the "Issuer"), par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis. The Common Units have no expiration date.
- Reflects the cancellation for no consideration of a number of shares of Class B Common Stock of the Issuer, par value $0.0001 per share, in connection with the redemption by the Reporting Person of an equal number of Common Units for Class A Shares.
- The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.805 to $22.795, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.82 to $23.73, 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.
- 3,066,227 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.