0001704711-24-000064.txt : 20240501 0001704711-24-000064.hdr.sgml : 20240501 20240501192402 ACCESSION NUMBER: 0001704711-24-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240429 FILED AS OF DATE: 20240501 DATE AS OF CHANGE: 20240501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Daw Tracy D CENTRAL INDEX KEY: 0001501098 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 24904657 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] ORGANIZATION NAME: 04 Manufacturing 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 wk-form4_1714605832.xml FORM 4 X0508 4 2024-04-29 0 0001704711 Funko, Inc. FNKO 0001501098 Daw Tracy D C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 0 1 0 0 CHIEF LEGAL OFFICER 0 CLASS A COMMON STOCK 2024-04-29 4 M 0 4521 0 A 66180 D CLASS A COMMON STOCK 2024-04-30 4 S 0 3755 6.0619 D 62425 D Restricted Stock Units 2024-04-29 4 M 0 4521 0 D CLASS A COMMON STOCK 4521 0 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock or, at the election of the Issuer, an equivalent cash payment. Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in September 13, 2023 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 $6.00 to $6.10, 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 total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. 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 2024-05-01