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