Form 4 for FNKO Funko, Inc.
Accepted 2023-05-02 00:00:00 ET · period of report 2023-05-01 · accession 0000950170-23-016830 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DT | 2023-05-02 | 2023-05-01 | FNKO | Daw Tracy D | CLO | M - OptEx | $0.00 | +4,520 | 49.4K | +10% | $0 |
| DT | 2023-05-02 | 2023-05-02 | FNKO | Daw Tracy D | CLO | S - Sale+OE | $9.40 | -3,004 | 46.4K | -6% | -$28.2K |
| DT | 2023-05-02 | 2023-05-01 | FNKO | Daw Tracy D | CLO | M - OptEx | $0.00 | -4,520 | 4,521 | -50% | $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 | 2023-05-01 | M | A | 4,520 | $0.00 | 49,366 | D | — | — | (F1) Restricted stock units convert into Class A Common Stock on a one-for-one basis. (F2) The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. |
| 2 | Common | CLASS A COMMON STOCK | 2023-05-02 | S | D | 3,004 | $9.40 | 46,362 | D | — | — | (F3) Shares were sold to cover taxes following the vesting of restricted stock units pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2022. (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.34 to $9.44, 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. (F2) The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. |
| 3 | Derivative | Restricted Stock Units | 2023-05-01 | M | D | 4,520 | $0.00 | 4,521 | D | — · — to — | 4,520 Class A Common Stock | (F1) Restricted stock units convert into Class A Common Stock on a one-for-one basis. (F5) On April 29, 2020, the Reporting Person was granted 18,081 restricted stock units, vesting in four equal annual installments on each of the first through fourth anniversaries of April 29, 2020, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |