0001062993-22-003865.txt : 20220211
0001062993-22-003865.hdr.sgml : 20220211
20220211193035
ACCESSION NUMBER: 0001062993-22-003865
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220209
FILED AS OF DATE: 20220211
DATE AS OF CHANGE: 20220211
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Funko Investors Holdings 1, L.L.C.
CENTRAL INDEX KEY: 0001721200
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623812
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 202-454-1100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Equity GenPar, L.L.C.
CENTRAL INDEX KEY: 0001721184
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623815
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 2024541100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Funko Investors, L.L.C.
CENTRAL INDEX KEY: 0001721192
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623813
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 202-454-1100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Funko Manager, L.L.C.
CENTRAL INDEX KEY: 0001721560
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623814
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 202-454-1100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Funko Investors Holdings 3.5, L.L.C.
CENTRAL INDEX KEY: 0001721243
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623810
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 202-454-1100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
FORMER NAME:
FORMER CONFORMED NAME: ACON Funko Investors Holdings 3, L.L.C
DATE OF NAME CHANGE: 20171030
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ACON Funko Investors Holdings 2.5, L.L.C.
CENTRAL INDEX KEY: 0001721244
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 22623811
BUSINESS ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
BUSINESS PHONE: 202-454-1100
MAIL ADDRESS:
STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700
CITY: WASHINGTON
STATE: DC
ZIP: 20036
FORMER NAME:
FORMER CONFORMED NAME: ACON Funko Investors Holdings 2, L.L.C.
DATE OF NAME CHANGE: 20171030
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
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2022-02-09
0001704711
Funko, Inc.
FNKO
0001721184
ACON Equity GenPar, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
0001721560
ACON Funko Manager, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
0001721192
ACON Funko Investors, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
0001721200
ACON Funko Investors Holdings 1, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
0001721244
ACON Funko Investors Holdings 2.5, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
0001721243
ACON Funko Investors Holdings 3.5, L.L.C.
C/O ACON INVESTMENTS, L.L.C.
1133 CONNECTICUT AVE., NW, SUITE 700
WASHINGTON
DC
20036
1
0
1
0
Class A Common Stock
2022-02-09
4
C
0
61143
A
61143
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-09
4
S
0
61143
18.16
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-09
4
S
0
28964
18.16
D
3722621
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2022-02-09
4
S
0
12212
18.16
D
1569628
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2022-02-09
4
S
0
34096
18.16
D
4382209
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2022-02-09
4
S
0
115
18.16
D
14857
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2022-02-09
4
D
0
61143
D
7858509
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-10
4
C
0
56570
A
56570
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-10
4
S
0
56570
18.49
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-10
4
S
0
26798
18.49
D
3695823
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2022-02-10
4
S
0
11299
18.49
D
1558329
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2022-02-10
4
S
0
31546
18.49
D
4350663
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2022-02-10
4
S
0
107
18.49
D
14750
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2022-02-10
4
D
0
56570
D
7801939
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-11
4
C
0
493
A
493
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-11
4
S
0
493
18.40
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2022-02-11
4
S
0
233
18.40
D
3695590
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2022-02-11
4
S
0
98
18.40
D
1558231
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2022-02-11
4
S
0
275
18.40
D
4350388
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2022-02-11
4
S
0
1
18.40
D
14749
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2022-02-11
4
D
0
493
D
7801446
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2022-02-09
4
C
0
61143
D
Class A common stock
61143
7858509
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2022-02-10
4
C
0
56570
D
Class A common stock
56570
7801939
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2022-02-11
4
C
0
493
D
Class A common stock
493
7801446
I
By ACON Funko Investors, L.L.C.
Represents the redemption by the Issuer of common units of Funko Acquisition Holdings, L.L.C. in exchange for newly-issued shares of Class A common stock on a one-for-one basis.
ACON Funko Manager, L.L.C. is (x) the sole manager of, and exercises voting and investment power over shares held by, ACON Funko Investors, L.L.C. and (y) the sole managing member of, and exercises voting and investment power over shares held by, ACON Funko Investors Holdings 1, L.L.C. ACON Equity GenPar, L.L.C. is the sole managing member of, and exercises voting and investment power over shares held by, each of ACON Funko Investors Holdings 2.5, L.L.C. and ACON Funko Investors Holdings 3.5, L.L.C.
Voting and investment decisions at ACON Funko Manager, L.L.C. are made by a board of managers, the members of which are Bernard Aronson, Kenneth Brotman, Jonathan Ginns, Daniel Jinich, Andre Bhatia and Aron Schwartz. Voting and investment decisions at ACON Equity GenPar, L.L.C. are made by an investment committee, the members of which are Bernard Aronson, Kenneth Brotman, Jonathan Ginns, Daniel Jinich, Andre Bhatia and Aron Schwartz. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each Reporting Person disclaims beneficial ownership of these securities except to the extent of its respective pecuniary interest therein, if any, and the inclusion of these shares in their report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Exchange Act or any other purpose.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 10, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.10 to $18.28, 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 footnotes (5), (8) and (9) to this Form 4.
The shares of Class B common stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the permitted holders of common units of Funko Acquisition Holdings, L.L.C.
Reflects the cancellation for no consideration of a number of shares of Class B common stock equal to the number of common units of Funko Acquisition Holdings, L.L.C. redeemed by the Issuer pursuant to their terms in connection with the redemption.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.30 to $18.66, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.40 to $18.41, inclusive.
At the request of the holder, the common units may be redeemed for, at the Issuer's election, newly-issued shares of Class A common stock on a one-for-one basis or a cash payment equal to a volume weighted average market price of one share of Class A common stock for each common unit redeemed.
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.
/s/ Teresa Bernstein, Attorney-in-fact
2022-02-11