Statement of Changes in Beneficial Ownership (4)
May 29 2020 - 4:42PM
Edgar (US Regulatory)
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ACON Funko Manager, L.L.C. |
2. Issuer Name and Ticker or Trading Symbol
Funko, Inc.
[
FNKO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ACON INVESTMENTS, L.L.C., 1133 CONNECTICUT AVE., NW, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2020 |
(Street)
WASHINGTON, DC 20036
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option (Right to buy) | $5.80 | 5/27/2020 | | A | | 17700 (1) | | (1) | 5/27/2030 | Class A common stock | 17700 (1) | $0 | 17700 (3) | I | See footnote (3) |
Restricted Stock Units | (2) | 5/27/2020 | | A | | 10848 (2) | | (2) | (2) | Class A common stock | 10848 (2) | $0 | 10848 (3) | I | See footnote (3) |
Explanation of Responses: |
(1) | Represents a grant of an option to purchase 5,900 shares of the Issuer's Class A common stock to each of Ken Brotman, Gino Dellomo and Adam Kriger, each of whom serves on the Issuer's board of directors as the Reporting Person's representative. The stock options vest in full on May 27, 2021. |
(2) | Represents a grant of 3,616 Restricted Stock Units ("RSUs") to each of Messrs. Brotman, Dellomo and Kriger, each of which represents a contingent right to receive one share of Class A common stock. At the option of the Issuer, each RSU may also be settled in an amount of cash equal to the value of one share of Class A common stock on the day prior to the applicable distribution or payment date. The RSUs vest in full on May 27, 2021. |
(3) | Each of Messrs. Brotman, Dellomo and Kriger has an agreement with the Reporting Person pursuant to which he holds the reported securities for the benefit of the Reporting Person. Accordingly, each of Messrs. Brotman, Dellomo and Kriger 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 Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any other purpose. The grant of such securities is exempt from Schedule 16(b) pursuant to Rule 16b-3 under the Exchange Act. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ACON Funko Manager, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON, DC 20036 | X | X |
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Signatures
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/s/ Teresa Bernstein, Attorney-in-fact | | 5/29/2020 |
**Signature of Reporting Person | Date |
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