0001062993-22-010745.txt : 20220425 0001062993-22-010745.hdr.sgml : 20220425 20220425202506 ACCESSION NUMBER: 0001062993-22-010745 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220421 FILED AS OF DATE: 20220425 DATE AS OF CHANGE: 20220425 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Funko Investors Holdings 1, L.L.C. CENTRAL INDEX KEY: 0001721200 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851397 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Equity GenPar, L.L.C. CENTRAL INDEX KEY: 0001721184 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851400 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 2024541100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE700 CITY: WASHINGTON STATE: DC ZIP: 20036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Funko Investors, L.L.C. CENTRAL INDEX KEY: 0001721192 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851398 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Funko Manager, L.L.C. CENTRAL INDEX KEY: 0001721560 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851399 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Funko Investors Holdings 3.5, L.L.C. CENTRAL INDEX KEY: 0001721243 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851395 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 FORMER NAME: FORMER CONFORMED NAME: ACON Funko Investors Holdings 3, L.L.C DATE OF NAME CHANGE: 20171030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACON Funko Investors Holdings 2.5, L.L.C. CENTRAL INDEX KEY: 0001721244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 22851396 BUSINESS ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: 1133 CONNECTICUT AVE., NW, SUITE 700 CITY: WASHINGTON STATE: DC ZIP: 20036 FORMER NAME: FORMER CONFORMED NAME: ACON Funko Investors Holdings 2, L.L.C. DATE OF NAME CHANGE: 20171030 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-04-21 0001704711 Funko, Inc. FNKO 0001721184 ACON Equity GenPar, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 0001721560 ACON Funko Manager, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 0001721192 ACON Funko Investors, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 0001721200 ACON Funko Investors Holdings 1, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 0001721244 ACON Funko Investors Holdings 2.5, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 0001721243 ACON Funko Investors Holdings 3.5, L.L.C. C/O ACON INVESTMENTS, L.L.C. 1133 CONNECTICUT AVE., NW, SUITE 700 WASHINGTON DC 20036 1 0 1 0 Class A Common Stock 2022-04-21 4 C 0 6120 A 6120 I By ACON Funko Investors, L.L.C. Class A Common Stock 2022-04-21 4 S 0 6120 18.25 D 0 I By ACON Funko Investors, L.L.C. Class A Common Stock 2022-04-21 4 S 0 2900 18.25 D 3454872 I By ACON Funko Investors Holdings 1, L.L.C. Class A Common Stock 2022-04-21 4 S 0 1223 18.25 D 1456735 I By ACON Funko Investors Holdings 2.5, L.L.C. Class A Common Stock 2022-04-21 4 S 0 3413 18.25 D 4067021 I By ACON Funko Investors Holdings 3.5, L.L.C. Class A Common Stock 2022-04-21 4 S 0 12 18.25 D 19688 I By ACON Funko Manager, L.L.C. Class B Common Stock 2022-04-21 4 D 0 6120 D 7293290 I By ACON Funko Investors, L.L.C. Common Units of Funko Acquisition Holdings, L.L.C. 2022-04-21 4 C 0 6120 D Class A common stock 6120 7293290 I By ACON Funko Investors, L.L.C. Represents the redemption by the Issuer of common units of Funko Acquisition Holdings, L.L.C. in exchange for newly-issued shares of Class A common stock on a one-for-one basis. ACON Funko Manager, L.L.C. is (x) the sole manager of, and exercises voting and investment power over shares held by, ACON Funko Investors, L.L.C. and (y) the sole managing member of, and exercises voting and investment power over shares held by, ACON Funko Investors Holdings 1, L.L.C. ACON Equity GenPar, L.L.C. is the sole managing member of, and exercises voting and investment power over shares held by, each of ACON Funko Investors Holdings 2.5, L.L.C. and ACON Funko Investors Holdings 3.5, L.L.C. Voting and investment decisions at ACON Funko Manager, L.L.C. are made by a board of managers, the members of which are Bernard Aronson, Kenneth Brotman, Jonathan Ginns, Daniel Jinich, Andre Bhatia and Aron Schwartz. Voting and investment decisions at ACON Equity GenPar, L.L.C. are made by an investment committee, the members of which are Bernard Aronson, Kenneth Brotman, Jonathan Ginns, Daniel Jinich, Andre Bhatia and Aron Schwartz. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each Reporting Person disclaims beneficial ownership of these securities except to the extent of its respective pecuniary interest therein, if any, and the inclusion of these shares in their report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Exchange Act or any other purpose. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 10, 2021. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.10 to $18.35, 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 range set forth in this footnote. The shares of Class B common stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the permitted holders of common units of Funko Acquisition Holdings, L.L.C. Pursuant to a previously disclosed agreement between Gino Dellomo, a former director of the Issuer, and ACON Funko Manager, L.L.C., Mr. Dellomo transferred 5,900 shares of Class A common stock acquired upon the exercise of a stock option, which he held for the benefit of ACON Funko Manager, L.L.C. The transfer of such securities is exempt from Section 16(b) pursuant to Rule 16a-13 under the Exchange Act. Reflects the cancellation for no consideration of a number of shares of Class B common stock equal to the number of common units of Funko Acquisition Holdings, L.L.C. redeemed by the Issuer pursuant to their terms in connection with the redemption. At the request of the holder, the common units may be redeemed for, at the Issuer's election, newly-issued shares of Class A common stock on a one-for-one basis or a cash payment equal to a volume weighted average market price of one share of Class A common stock for each common unit redeemed. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. /s/ Teresa Bernstein, Attorney-in-fact 2022-04-25