0001123292-21-001248.txt : 20210827 0001123292-21-001248.hdr.sgml : 20210827 20210827161925 ACCESSION NUMBER: 0001123292-21-001248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210825 FILED AS OF DATE: 20210827 DATE AS OF CHANGE: 20210827 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: 211219151 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 2021-08-25 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 2021-08-25 4 C 0 75553 A 75553 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-25 4 S 0 75553 20.37 D 0 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-25 4 S 0 35790 20.37 D 3850700 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 2021-08-25 4 S 0 15091 20.37 D 1623630 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 2021-08-25 4 S 0 42131 20.37 D 4532981 I By ACON Funko Investors Holdings 3.5, L.L.C. Class A Common Stock 2021-08-25 4 S 0 41 20.37 D 15219 I By ACON Funko Manager, L.L.C. Class B Common Stock 2021-08-25 4 D 0 75553 D 8128883 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-25 4 C 0 60311 A 60311 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-25 4 S 0 60311 20.65 D 0 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-25 4 S 0 28570 20.65 D 3822130 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 2021-08-25 4 S 0 12046 20.65 D 1611584 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 2021-08-25 4 S 0 33632 20.65 D 4499349 I By ACON Funko Investors Holdings 3.5, L.L.C. Class A Common Stock 2021-08-25 4 S 0 32 20.65 D 15187 I By ACON Funko Manager, L.L.C. Class B Common Stock 2021-08-25 4 D 0 60311 D 8068572 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 C 0 11360 A 11360 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 S 0 11360 20.06 D 0 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 S 0 5381 20.06 D 3816749 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 2021-08-26 4 S 0 2269 20.06 D 1609315 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 2021-08-26 4 S 0 6335 20.06 D 4493014 I By ACON Funko Investors Holdings 3.5, L.L.C. Class A Common Stock 2021-08-26 4 S 0 6 20.06 D 15181 I By ACON Funko Manager, L.L.C. Class B Common Stock 2021-08-26 4 D 0 11360 D 8057212 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 C 0 10029 A 10029 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 S 0 10029 20.58 D 0 I By ACON Funko Investors, L.L.C. Class A Common Stock 2021-08-26 4 S 0 4751 20.58 D 3811998 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 2021-08-26 4 S 0 2003 20.58 D 1607312 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 2021-08-26 4 S 0 5592 20.58 D 4487422 I By ACON Funko Investors Holdings 3.5, L.L.C. Class A Common Stock 2021-08-26 4 S 0 5 20.58 D 15176 I By ACON Funko Manager, L.L.C. Class B Common Stock 2021-08-26 4 D 0 10029 D 8047183 I By ACON Funko Investors, L.L.C. Common Units of Funko Acquisition Holdings, L.L.C. 2021-08-25 4 C 0 75553 D Class A common stock 75553 8128883 I By ACON Funko Investors, L.L.C. Common Units of Funko Acquisition Holdings, L.L.C. 2021-08-25 4 C 0 60311 D Class A common stock 60311 8068572 I By ACON Funko Investors, L.L.C. Common Units of Funko Acquisition Holdings, L.L.C. 2021-08-26 4 C 0 11360 D Class A common stock 11360 8057212 I By ACON Funko Investors, L.L.C. Common Units of Funko Acquisition Holdings, L.L.C. 2021-08-26 4 C 0 10029 D Class A common stock 10029 8047183 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. The Reporting Person is employed by an affiliate of ACON Funko Manager, L.L.C. 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 Securities Exchange Act of 1934, as amended (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. 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 $20.00 to $20.51, 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 $20.52 to $21.03, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.40, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.41 to $21.00, 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 2021-08-27