0001123292-21-001046.txt : 20210628
0001123292-21-001046.hdr.sgml : 20210628
20210628215905
ACCESSION NUMBER: 0001123292-21-001046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210624
FILED AS OF DATE: 20210628
DATE AS OF CHANGE: 20210628
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: 211055406
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: 211055408
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: 211055405
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: 211055407
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: 211055403
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: 211055404
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
edgar.xml
PRIMARY DOCUMENT
X0306
4
2021-06-24
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
2021-06-24
4
C
0
35606
A
35606
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-24
4
S
0
35606
22.65
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-24
4
S
0
16867
22.65
D
4013205
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2021-06-24
4
S
0
7112
22.65
D
1692150
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2021-06-24
4
S
0
19856
22.65
D
4724277
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2021-06-24
4
S
0
19
22.65
D
15404
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2021-06-24
4
D
0
35606
D
8471931
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
C
0
91619
A
91619
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
91619
22.03
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
43400
22.03
D
3969805
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
18300
22.03
D
1673850
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
51090
22.03
D
4673187
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
49
22.03
D
15355
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2021-06-25
4
D
0
91619
D
8380312
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
C
0
3644
A
3644
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
3644
22.69
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
1727
22.69
D
3968078
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
728
22.69
D
1673122
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
2033
22.69
D
4671154
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2021-06-25
4
S
0
2
22.69
D
15353
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2021-06-25
4
D
0
3644
D
8376668
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-28
4
C
0
11203
A
11203
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-28
4
S
0
11203
21.82
D
0
I
By ACON Funko Investors, L.L.C.
Class A Common Stock
2021-06-28
4
U
0
5307
21.82
D
3962771
I
By ACON Funko Investors Holdings 1, L.L.C.
Class A Common Stock
2021-06-28
4
S
0
2237
21.82
D
1670885
I
By ACON Funko Investors Holdings 2.5, L.L.C.
Class A Common Stock
2021-06-28
4
S
0
6247
21.82
D
4664907
I
By ACON Funko Investors Holdings 3.5, L.L.C.
Class A Common Stock
2021-06-28
4
S
0
6
21.82
D
15347
I
By ACON Funko Manager, L.L.C.
Class B Common Stock
2021-06-28
4
D
0
11203
D
8365465
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2021-06-24
4
C
0
35606
D
Class A common stock
35606
8471931
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2021-06-25
4
C
0
95263
D
Class A common stock
95263
8376668
I
By ACON Funko Investors, L.L.C.
Common Units of Funko Acquisition Holdings, L.L.C.
2021-06-28
4
C
0
11203
D
Class A common stock
11203
8365465
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 May 11, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.39 to $22.81, 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), (9) and (10) 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 $22.00 to $22.54, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.55 to $23.00, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.36 to $22.18, 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.
/s/ Teresa Bernstein, Attorney-in-fact
2021-06-28