Form 4 for FNKO Funko, Inc.
Accepted 2021-11-09 00:00:00 ET · period of report 2021-11-05 · accession 0000899243-21-043652 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-09 | 2021-11-05+ | FNKO | Mariotti Brian Richard | CEO, Dir | C - Cnv Deriv | $0.00 | +30.1K | 108.3K | +38% | $0 |
| DM | 2021-11-09 | 2021-11-05+ | FNKO | Mariotti Brian Richard | CEO, Dir | S - Sale | $19.65 | -79.5K | 53.5K | -60% | -$1.56M |
| DM | 2021-11-09 | 2021-11-05+ | FNKO | Mariotti Brian Richard | CEO, Dir | D - Sale to Iss | $0.00 | -79.5K | 1.60M | -5% | $0 |
| DM | 2021-11-09 | 2021-11-05+ | FNKO | Mariotti Brian Richard | CEO, Dir | C - Cnv Deriv | $0.00 | -79.5K | 2.35M | -3% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-08 | C | D | 24,728 | $0.00 | 78,179 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-11-05 | S | D | 54,811 | $19.55 | 53,451 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.35 to $19.94, 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. |
| 3 | Common | Class B Common Stock | 2021-11-05 | D | D | 54,811 | $0.00 | 1,626,127 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-11-05 | C | A | 54,811 | $0.00 | 108,262 | D | — | — | |
| 5 | Common | Class B Common Stock | 2021-11-08 | D | D | 24,728 | $0.00 | 1,601,399 | D | — | — | |
| 6 | Common | Class A Common Stock | 2021-11-08 | S | D | 24,728 | $19.87 | 53,451 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.35 to $20.065, 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. (F6) The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. |
| 7 | Derivative | Common Units | 2021-11-08 | C | D | 24,728 | $0.00 | 2,328,206 | D | — · — to — | 24,728 Class A Common Stock | (F1) Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for Class A common stock of Funko, Inc. (the "Issuer"), par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis. The Common Units are fully vested and have no expiration date. |
| 8 | Derivative | Common Units | 2021-11-05 | C | D | 54,811 | $0.00 | 2,352,934 | D | — · — to — | 54,811 Class A Common Stock | (F1) Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for Class A common stock of Funko, Inc. (the "Issuer"), par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis. The Common Units are fully vested and have no expiration date. |