0000950170-23-016830.txt : 20230502 0000950170-23-016830.hdr.sgml : 20230502 20230502202847 ACCESSION NUMBER: 0000950170-23-016830 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230502 DATE AS OF CHANGE: 20230502 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: 23881319 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 ownership.xml 4 X0407 4 2023-05-01 0001704711 Funko, Inc. FNKO 0001501098 Daw Tracy D C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 false true false false CHIEF LEGAL OFFICER true CLASS A COMMON STOCK 2023-05-01 4 M false 4520 0.00 A 49366 D CLASS A COMMON STOCK 2023-05-02 4 S false 3004 9.4048 D 46362 D Restricted Stock Units 2023-05-01 4 M false 4520 0.00 D Class A Common Stock 4520 4521 D Restricted stock units convert into Class A Common Stock on a one-for-one basis. The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. Shares were sold to cover taxes following the vesting of restricted stock units pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2022. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.34 to $9.44, 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. On April 29, 2020, the Reporting Person was granted 18,081 restricted stock units, vesting in four equal annual installments on each of the first through fourth anniversaries of April 29, 2020, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. /s/ Tracy D. Daw 2023-05-02