0000899243-21-020407.txt : 20210521 0000899243-21-020407.hdr.sgml : 20210521 20210521201126 ACCESSION NUMBER: 0000899243-21-020407 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200409 FILED AS OF DATE: 20210521 DATE AS OF CHANGE: 20210521 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Daw Tracy D CENTRAL INDEX KEY: 0001501098 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 21950837 MAIL ADDRESS: STREET 1: 2601 ELLIOTT AVENUE STREET 2: SUITE 1000 CITY: SEATTLE STATE: WA ZIP: 98121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Funko, Inc. CENTRAL INDEX KEY: 0001704711 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2802 WETMORE AVE CITY: EVERETT STATE: WA ZIP: 98201 BUSINESS PHONE: 425-783-3616 MAIL ADDRESS: STREET 1: 2802 WETMORE AVE CITY: EVERETT STATE: WA ZIP: 98201 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-04-09 0 0001704711 Funko, Inc. FNKO 0001501098 Daw Tracy D C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 0 1 0 0 SEE REMARKS CLASS A COMMON STOCK 2020-04-09 4 S 0 431 3.56 D 5888 D CLASS A COMMON STOCK 2021-05-20 4 M 0 30000 12.00 A 35888 D CLASS A COMMON STOCK 2021-05-20 4 S 0 30000 24.594 D 5888 D OPTION TO PURCHASE CLASS A COMMON STOCK 12.00 2021-05-20 4 M 0 30000 0.00 D 2027-10-31 CLASS A COMMON STOCK 30000 73000 D Shares were sold to cover taxes upon the vesting of restricted stock units on April 8, 2020. The total number of shares of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.51 to $24.75, inclusive. The Reporting Person undertakes to provide to Funko, Inc. (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 Option vested and became exercisable with respect to twenty-five percent (25%) of the shares subject thereto on the first anniversary of November 1, 2017 (the "Pricing Date"), and the remaining 75% of the shares subject to the Option have vested or will vest in thirty-six (36) equal installments on each monthly anniversary following the first anniversary of the Pricing Date, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. Senior Vice President, General Counsel and Secretary /s/ Tracy D. Daw 2021-05-21