Form 4 for FNKO Funko, Inc.
Accepted 2023-03-07 00:00:00 ET · period of report 2023-03-04 · accession 0000899243-23-007413 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-03-07 | 2023-03-04 | FNKO | Daw Tracy D | CLO | M - OptEx | $0.00 | +1,368 | 39.8K | +4% | $0 |
| D | 2023-03-07 | 2023-03-04 | FNKO | Daw Tracy D | CLO | M - OptEx | $0.00 | -1,368 | 0 | -100% | $0 |
| DM | 2023-03-07 | 2023-03-06 | FNKO | Daw Tracy D | CLO | A - Grant | $0.00 | +47.5K | 26.4K | New | $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 | 2023-03-04 | M | A | 1,368 | $0.00 | 39,798 | D | — | — | (F1) 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. (F2) The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. |
| 2 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 1,368 | $0.00 | 0 | D | — · — to — | 1,368 Class A Common Stock | (F1) 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. (F3) On March 4, 2019, the Reporting Person was granted 5,470 RSUs, vesting in four equal annual installments on each of the first through fourth anniversaries of March 4, 2019, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
| 3 | Derivative | Restricted Stock Units | 2023-03-06 | A | A | 21,094 | $0.00 | 21,094 | D | — · — to — | 21,094 Class A Common Stock | (F1) 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. (F4) The RSUs vest in four equal installments on each of the first through fourth anniversaries of March 6, 2023, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
| 4 | Derivative | Option to Purchase Class A Common Stock | 2023-03-06 | A | A | 26,400 | $0.00 | 26,400 | D | $9.77 · — to 2033-03-06 | 26,400 Class A Common Stock | (F5) The option will vest and become exercisable with respect to 25% of the shares subject thereto on the first anniversary of March 6, 2023 and the remaining 75% of the option will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |