0001140361-23-026320.txt : 20230523
0001140361-23-026320.hdr.sgml : 20230523
20230523212613
ACCESSION NUMBER: 0001140361-23-026320
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220524
FILED AS OF DATE: 20230523
DATE AS OF CHANGE: 20230523
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jacobs Jesse
CENTRAL INDEX KEY: 0001851935
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 23950422
MAIL ADDRESS:
STREET 1: 12180 MILLENNIUM DRIVE
STREET 2: SUITE 500
CITY: PLAYA VISTA
STATE: CA
ZIP: 90094
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/A
1
form4.xml
X0407
4/A
2022-05-24
2022-05-26
0001704711
Funko, Inc.
FNKO
0001851935
Jacobs Jesse
C/O FUNKO, INC.
2802 WETMORE AVENUE
EVERETT
WA
98201
true
false
Restricted Stock Units
2022-05-24
4
A
0
2080
0
A
Class A Common Stock
2080
2080
D
Option to Purchase Class A Common Stock
17.99
2022-05-24
4
A
0
5200
0
A
2032-05-24
Class A Common Stock
5200
5200
D
Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock or, at the election of the Issuer, an equivalent cash payment. The RSUs vest on May 24, 2023, subject to the reporting person's continued service with the Issuer through the vesting date.
The reporting person was granted 2,080 restricted stock units and 5,200 options to purchase Class A Common Stock as compensation for his service on the Issuer's board of directors and are held by the reporting person for the benefit of TCG Capital Management, LP ("TCG"). Pursuant to a Stockholders Agreement with the Issuer, TCG and its affiliates have the right to nominate up to two directors to the Issuer's board of directors, subject to certain ownership thresholds. The reporting person serves on the Issuer's board of directors pursuant to this right. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The option will vest and become exercisable on May 24, 2023, subject to the reporting person's continued service with the Issuer through the vesting date. Pursuant to a contractual agreement between the reporting person and TCG, any shares of Class A Common Stock issued to the reporting person upon exercise of the options will be immediately transferred to TCG in a transaction exempt from Section 16 pursuant to Rule 16a-13 thereunder.
This Amendment is being filed to clarify the nature of the ownership of the securities between the reporting person and TCG..
/s/ Jesse Jacobs
2023-05-23