0001209191-19-028104.txt : 20190507
0001209191-19-028104.hdr.sgml : 20190507
20190507191506
ACCESSION NUMBER: 0001209191-19-028104
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190503
FILED AS OF DATE: 20190507
DATE AS OF CHANGE: 20190507
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fundamental Capital Partners, LLC
CENTRAL INDEX KEY: 0001720908
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 19804726
BUSINESS ADDRESS:
STREET 1: 4 EMBARCADERO CENTER
STREET 2: SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: (415) 782-0000
MAIL ADDRESS:
STREET 1: 4 EMBARCADERO CENTER
STREET 2: SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Keenley Kevin G.
CENTRAL INDEX KEY: 0001720927
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 19804727
MAIL ADDRESS:
STREET 1: 4 EMBARCADERO CENTER
STREET 2: SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McNally Richard L.
CENTRAL INDEX KEY: 0001719500
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 19804728
MAIL ADDRESS:
STREET 1: C/O FUNDAMENTAL CAPITAL, LLC
STREET 2: 4 EMBARCADERO CENTER, SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Funko International, LLC
CENTRAL INDEX KEY: 0001720926
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38274
FILM NUMBER: 19804729
BUSINESS ADDRESS:
STREET 1: 4 EMBARCADERO CENTER
STREET 2: SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: (415) 782-0000
MAIL ADDRESS:
STREET 1: 4 EMBARCADERO CENTER
STREET 2: SUITE 1400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-05-03
0
0001704711
Funko, Inc.
FNKO
0001720908
Fundamental Capital Partners, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO
CA
94111
0
0
1
0
0001720927
Keenley Kevin G.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO
CA
94920
0
0
1
0
0001719500
McNally Richard L.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO
CA
94920
0
0
1
0
0001720926
Funko International, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO
CA
94920
0
0
1
0
Class B Common Stock
793138
I
By Fundamental Capital, LLC
Class A Common Stock
2019-05-03
4
S
0
22122
20.8743
D
157878
I
By Fundamental Capital, LLC
Class A Common Stock
2019-05-06
4
S
0
23976
21.3136
D
133902
I
By Fundamental Capital, LLC
Class A Common Stock
2019-05-07
4
S
0
2412
22.0076
D
131490
I
By Fundamental Capital, LLC
Class B Common Stock
3636538
I
By Funko International, LLC
Class A Common Stock
2019-05-03
4
S
0
100778
20.8743
D
719222
I
By Funko International, LLC
Class A Common Stock
2019-05-06
4
S
0
109224
21.3136
D
609998
I
By Funko International, LLC
Class A Common Stock
2019-05-07
4
S
0
10988
22.0076
D
599010
I
By Funko International, LLC
Shares of Class B common stock, par value $0.0001 per share ("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. ("Common Units"). Common Units may be redeemed by the Reporting Person at any time for shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), on a one-for-one basis.
Fundamental Capital, LLC ("Fundamental Capital") is the Manager of Funko International, LLC ("Funko International") and Fundamental Capital Partners, LLC ("FCP") is the Manager of Fundamental Capital. Richard McNally and Kevin Keenley are the sole members of and hold voting membership interests in FCP. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interests therein, if any.
The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $20.50 to $21.50, 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 this footnote.
The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $21.00 to $21.53, 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 this footnote.
The price reported is a weighted average price. These shares of Class A Common Stock were sold in multiple transactions at prices ranging from $22.00 to $22.05, 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 this footnote.
/s/ Kevin G. Keenley, individually, as Attorney-in-Fact for Richard L. McNally, as Member of Fundamental Capital Partners, LLC, and for Funko International, LLC, as Member of Fundamental Capital Partners, LLC
2019-05-07