Form 4 for FNKO Funko, Inc.
Accepted 2023-03-10 00:00:00 ET · period of report 2023-03-08 · accession 0000899243-23-008199 · 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 | 2023-03-10 | 2023-03-08 | FNKO | Perlmutter Andrew Mark | Pres, Dir | M - OptEx | $0.00 | +8,957 | 120.2K | +8% | $0 |
| D | 2023-03-10 | 2023-03-09 | FNKO | Perlmutter Andrew Mark | Pres, Dir | S - Sale+OE | $8.29 | -5,941 | 114.3K | -5% | -$49.3K |
| D | 2023-03-10 | 2023-03-08 | FNKO | Perlmutter Andrew Mark | Pres, Dir | M - OptEx | $0.00 | -8,957 | 26.9K | -25% | $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 | 2023-03-08 | M | A | 8,957 | $0.00 | 120,245 | 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. |
| 2 | Common | Class A Common Stock | 2023-03-09 | S | D | 5,941 | $8.29 | 114,304 | D | — | — | (F2) Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.25 to $8.40, 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. (F4) The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. |
| 3 | Derivative | Restricted Stock Units | 2023-03-08 | M | D | 8,957 | $0.00 | 26,872 | D | — · — to — | 8,957 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. (F5) On March 8, 2022, the Reporting Person was granted 35,829 RSUs, vesting in four equal annual installments on each of the first through fourth anniversaries of March 8, 2022, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |