0001140361-24-029232.txt : 20240607 0001140361-24-029232.hdr.sgml : 20240607 20240607114731 ACCESSION NUMBER: 0001140361-24-029232 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240604 FILED AS OF DATE: 20240607 DATE AS OF CHANGE: 20240607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kerns Mike CENTRAL INDEX KEY: 0001851947 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 241028120 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] ORGANIZATION NAME: 04 Manufacturing 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 form4.xml FORM 4 X0508 4 2024-06-04 0001704711 Funko, Inc. FNKO 0001851947 Kerns Mike C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 true false Restricted Stock Units 2024-06-04 4 A 0 10204 0 A Class A Common Stock 10204 10204 D Option to Purchase Class A Common Stock 9.43 2024-06-04 4 A 0 25500 0 A 2034-06-04 Class A Common Stock 25500 25500 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 June 4, 2025, subject to the reporting person's continued service with the Issuer through the vesting date. The reporting person was granted 10,204 restricted stock units and 25,500 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 options will vest and become exercisable on June 4, 2025, subject to the reporting person's continued service with the Issuer through the vesting date. /s/ Lauren Goldberg, as Attorney-in-Fact for Mike Kerns 2024-06-07