Form 4 for FNKO Funko, Inc.
Accepted 2024-04-02 00:00:00 ET · period of report 2024-03-29 · accession 0001704711-24-000033 · 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 | 2024-04-02 | 2024-03-29 | FNKO | Perlmutter Andrew Mark | Dir | M - OptEx | $0.00 | +130.6K | 411.8K | +46% | $0 |
| DM | 2024-04-02 | 2024-03-29 | FNKO | Perlmutter Andrew Mark | Dir | M - OptEx | $0.00 | -130.6K | 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 | 2024-03-29 | M | A | 30,000 | $0.00 | 466,855 | 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 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 29,004 | $0.00 | 365,256 | 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. |
| 3 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 17,915 | $0.00 | 383,171 | 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. |
| 4 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 2,807 | $0.00 | 436,855 | 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. |
| 5 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 12,328 | $0.00 | 424,103 | 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. |
| 6 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 9,945 | $0.00 | 434,048 | 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. |
| 7 | Common | CLASS A COMMON STOCK | 2024-03-29 | M | A | 28,604 | $0.00 | 411,775 | 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. |
| 8 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 28,604 | $0.00 | 0 | D | — · — to — | 28,604 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 January 3, 2022, the Reporting Person was granted 85,812 RSUs, which have vested or will vest in three equal installments on each of the first three anniversaries of the date of grant, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
| 9 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 12,328 | $0.00 | 0 | D | — · — to — | 12,328 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. (F6) On April 21, 2021, the Reporting Person was granted 24,656 RSUs, which have vested or will vest in four equal installments on each of the first through fourth anniversaries of the date of grant, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
| 10 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 17,915 | $0.00 | 0 | D | — · — to — | 17,915 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) 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. |
| 11 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 29,004 | $0.00 | 0 | D | — · — to — | 29,004 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 6, 2023, the Reporting Person was granted 38,672 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. |
| 12 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 30,000 | $0.00 | 0 | D | — · — to — | 30,000 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. (F9) On August 11, 2023, the Reporting Person was granted 30,000 RSUs, vesting in full on March 29, 2024, subject to the Reporting Person's continued employment with the Issuer through the vesting date. |
| 13 | Derivative | Restricted Stock Units | 2024-03-29 | M | D | 9,945 | $0.00 | 0 | D | — · — to — | 9,945 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. (F7) On April 29, 2020, the Reporting Person was granted 39,778 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. |
| 14 | Derivative | Performance Stock Units | 2024-03-29 | M | D | 2,807 | $0.00 | 0 | D | — · — to — | 2,807 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. (F8) On March 8, 2022, the Reporting Person was granted 17,914 performance stock units, vesting upon the completion of Net Sales and EBITDA margin targets in 2022, 2023 and 2024. Upon his resignation on March 31, 2024, the performance period was adjusted to end at the resignation date and was achieved at 15.67% of the originally granted amount. |