Form 4 for FNKO Funko, Inc.
Accepted 2022-03-29 00:00:00 ET · period of report 2022-03-25 · accession 0001062993-22-008960 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-03-29 | 2022-03-25 | FNKO | ACON Funko Manager, L.L.C. | Dir, 10% | M - OptEx | $5.80 | +5,900 | 5,900 | New | +$34.2K |
| DI | 2022-03-29 | 2022-03-25 | FNKO | ACON Funko Manager, L.L.C. | Dir, 10% | M - OptEx | $0.00 | -5,900 | 0 | -100% | $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 | 2022-03-25 | M | A | 5,900 | $5.80 | 5,900 | I See footnote | — | — | (F1) Represents a stock option to purchase 5,900 shares of the Issuer's Class A common stock held by Gino Dellomo, who, at the time of vesting, served on the Issuer's board of directors as the Reporting Person's representative. The stock option vested in full on May 27, 2021. (F2) Mr. Dellomo has an agreement with the Reporting Person pursuant to which he holds the reported securities for the benefit of the Reporting Person. Accordingly, Mr. Dellomo 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 and exercise of such securities are exempt from Schedule 16(b) pursuant to Rule 16b-3(d) and Rule 16b-6(b), respectively, under the Exchange Act. |
| 2 | Derivative | Stock Option (Right to Buy) | 2022-03-25 | M | D | 5,900 | $0.00 | 0 | I See footnote | $5.80 · — to 2022-04-03 | 5,900 Class A common stock | (F1) Represents a stock option to purchase 5,900 shares of the Issuer's Class A common stock held by Gino Dellomo, who, at the time of vesting, served on the Issuer's board of directors as the Reporting Person's representative. The stock option vested in full on May 27, 2021. (F2) Mr. Dellomo has an agreement with the Reporting Person pursuant to which he holds the reported securities for the benefit of the Reporting Person. Accordingly, Mr. Dellomo 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 and exercise of such securities are exempt from Schedule 16(b) pursuant to Rule 16b-3(d) and Rule 16b-6(b), respectively, under the Exchange Act. (F5) Pursuant to the award agreement, the stock option will expire on May 27, 2030 unless earlier forfeited. Mr. Dellomo resigned from the Issuer's board of directors effective January 3, 2022. As a result, the stock option was subject to forfeiture if not exercised by April 3, 2022. |