0001123292-21-000906.txt : 20210527
0001123292-21-000906.hdr.sgml : 20210527
20210527174129
ACCESSION NUMBER: 0001123292-21-000906
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210527
FILED AS OF DATE: 20210527
DATE AS OF CHANGE: 20210527
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: 21974570
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
2021-05-27
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
2021-05-27
4
M
0
3616
A
3616
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.
Class A Common Stock
4776
I
By ACON Funko Manager, L.L.C.
Restricted Stock Units
2021-05-27
4
M
0
3616
0
D
Class A common stock
3616
0
D
On May 27, 2020, the Issuer granted to the Reporting Person 3,616 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 May 27, 2021.
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
2021-05-27