Statement of Changes in Beneficial Ownership (4)

Date : 04/05/2019 @ 10:03PM
Source : Edgar (US Regulatory)
Stock : Funko, Inc. (FNKO)
Quote : 23.86  -0.11 (-0.46%) @ 5:00AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Fundamental Capital Partners, LLC
2. Issuer Name and Ticker or Trading Symbol

Funko, Inc. [ FNKO ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O FUNDAMENTAL CAPITAL, LLC, 4 EMBARCADERO CENTER, SUITE 1400
3. Date of Earliest Transaction (MM/DD/YYYY)

4/3/2019
(Street)

SAN FRANCISCO, CA 94111
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock   4/3/2019     C (1)    180000   A $0.00   180000   I   By Fundamental Capital, LLC   (2)
Class B Common Stock   (3) 4/3/2019     D (4)    180000   D $0.00   793138   I   By Fundamental Capital, LLC   (2)
Class A Common Stock   4/3/2019     C (1)    820000   A $0.00   820000   I   By Funko International, LLC   (2)
Class B Common Stock   (3) 4/3/2019     D (4)    820000   D $0.00   3636538   I   By Funko International, LLC   (2)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Units     (1) 4/3/2019     C   (1)       180000      (1)   (1) Class A Common Stock   180000   $0.00   793138   I   By Fundamental Capital, LLC   (2)
Common Units     (1) 4/3/2019     C   (1)       820000      (1)   (1) Class A Common Stock   820000   $0.00   3636538   I   By Funko International, LLC   (2)

Explanation of Responses:
(1)  Common Units of Funko Acquisition Holdings, L.L.C. ("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.
(2)  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.
(3)  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.
(4)  Reflects the cancellation for no consideration of a number of shares of Class B Common Stock in connection with the redemption by the Reporting Person of an equal number of Common Units for Class A Common Stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Fundamental Capital Partners, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94111

X

Keenley Kevin G.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920

X

McNally Richard L.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920

X

Funko International, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920

X


Signatures
/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 4/5/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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