0001123292-20-000942.txt : 20200709 0001123292-20-000942.hdr.sgml : 20200709 20200630112458 ACCESSION NUMBER: 0001123292-20-000942 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200625 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200630 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kriger Adam M. CENTRAL INDEX KEY: 0001719491 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 201001153 MAIL ADDRESS: STREET 1: C/O FUNKO, INC. STREET 2: 2802 WETMORE AVENUE CITY: EVERETT STATE: WA ZIP: 98201 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 edgar.xml PRIMARY DOCUMENT X0306 4 2020-06-25 0001704711 Funko, Inc. FNKO 0001719491 Kriger Adam M. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 0 0 Class A Common Stock 2020-06-25 4 M 0 1592 A 1592 D Class A Common Stock 4207513 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 1774080 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 4953013 I By ACON Funko Investors Holdings 3.5, L.L.C. Restricted Stock Units 2020-06-25 4 M 0 1592 0 D Class A common stock 1592 0 D On June 25, 2019, the Issuer granted to the Reporting Person 1,592 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of Class A common stock. The RSUs vested in full on June 25, 2020. The Reporting Person is affiliated with ACON Funko Manager, L.L.C, ("ACON Manager") which is a manager of funds that hold securities of the Issuer. The Reporting Person has an agreement with ACON Manager pursuant to which he holds the reported securities for the benefit of ACON Manager. Accordingly, the Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any other purpose. ACON Manager 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 Manager 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. The Reporting Person is employed by an affiliate of ACON Manager and ACON Equity GenPar, L.L.C., and may be deemed to beneficially own securities owned by them. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this 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. /s/ Teresa Bernstein, Attorney-in-fact 2020-06-29