0000899243-21-022149.txt : 20210604 0000899243-21-022149.hdr.sgml : 20210604 20210604193015 ACCESSION NUMBER: 0000899243-21-022149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210602 FILED AS OF DATE: 20210604 DATE AS OF CHANGE: 20210604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mariotti Brian Richard CENTRAL INDEX KEY: 0001719494 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 21997890 MAIL ADDRESS: STREET 1: C/O FUNKO, INC. STREET 2: 2802 WETMORE AVENUE CITY: EVERETT STATE: WA ZIP: 98201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Funko, Inc. CENTRAL INDEX KEY: 0001704711 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2802 WETMORE AVE CITY: EVERETT STATE: WA ZIP: 98201 BUSINESS PHONE: 425-783-3616 MAIL ADDRESS: STREET 1: 2802 WETMORE AVE CITY: EVERETT STATE: WA ZIP: 98201 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-02 0 0001704711 Funko, Inc. FNKO 0001719494 Mariotti Brian Richard C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 1 1 0 0 CHIEF EXECUTIVE OFFICER Class A Common Stock 2021-06-02 4 C 0 102900 0.00 A 147686 D Class B Common Stock 2021-06-02 4 D 0 102900 0.00 D 2347325 D Class A Common Stock 2021-06-02 4 S 0 102400 25.5494 D 45286 D Class A Common Stock 2021-06-02 4 S 0 500 26.01 D 44786 D Class A Common Stock 2021-06-03 4 C 0 185292 0.00 A 230078 D Class B Common Stock 2021-06-03 4 D 0 185292 0.00 D 2162033 D Class A Common Stock 2021-06-03 4 S 0 154365 23.8725 D 75713 D Class A Common Stock 2021-06-03 4 S 0 30627 24.6885 D 45086 D Class A Common Stock 2021-06-03 4 S 0 300 25.5233 D 44786 D Class A Common Stock 2021-06-04 4 C 0 212007 0.00 A 256793 D Class B Common Stock 2021-06-04 4 D 0 212007 0.00 D 1950026 D Class A Common Stock 2021-06-04 4 S 0 212007 23.6801 D 44786 D Common Units 2021-06-02 4 C 0 102900 0.00 D Class A Common Stock 102900 3074132 D Common Units 2021-06-03 4 C 0 185292 0.00 D Class A Common Stock 185292 2888840 D Common Units 2021-06-04 4 C 0 212007 0.00 D Class A Common Stock 212007 2676833 D Common Units of Funko Acquisition Holdings, L.L.C. ("Common Units") may be redeemed by the Reporting Person at any time for Class A common stock of Funko, Inc. (the "Issuer"), par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis. The Common Units are fully vested and have no expiration date. Reflects the cancellation for no consideration of a number of shares of Class B Common Stock of the Issuer, par value $0.0001 per share, in connection with the redemption by the Reporting Person of an equal number of Common Units for Class A Shares. The sales reported in this Form 4 were effected 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $26.00, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.35 to $24.34, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.35 to $25.34, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.39 to $25.59, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.03 to $23.93, 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. The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. /s/ Tracy Daw, as Attorney-in-Fact for Brian Richard Mariotti 2021-06-04