0000899243-19-000869.txt : 20190109 0000899243-19-000869.hdr.sgml : 20190109 20190109181540 ACCESSION NUMBER: 0000899243-19-000869 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190107 FILED AS OF DATE: 20190109 DATE AS OF CHANGE: 20190109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Perlmutter Andrew Mark CENTRAL INDEX KEY: 0001719492 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 19518976 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 2019-01-07 0 0001704711 Funko, Inc. FNKO 0001719492 Perlmutter Andrew Mark C/O FUNKO, INC. 2802 WETMORE AVENUE EVERETT WA 98201 0 1 0 0 PRESIDENT CLASS A COMMON STOCK 2019-01-07 4 C 0 24522 0.00 A 80772 D CLASS B COMMON STOCK 2019-01-07 4 D 0 24522 0.00 D 58736 D CLASS A COMMON STOCK 2019-01-07 4 S 0 24522 15.0063 D 56250 D CLASS A COMMON STOCK 2019-01-08 4 C 0 1800 0.00 A 58050 D CLASS B COMMON STOCK 2019-01-08 4 D 0 1800 0.00 D 56936 D CLASS A COMMON STOCK 2019-01-08 4 S 0 1800 15.0294 D 56250 D CLASS A COMMON STOCK 2019-01-09 4 C 0 3678 0.00 A 59928 D CLASS B COMMON STOCK 2019-01-09 4 D 0 3678 0.00 D 53258 D CLASS A COMMON STOCK 2019-01-09 4 S 0 3678 15.1014 D 56250 D Common Units 2019-01-07 4 C 0 24522 0.00 D Class A Common Stock 24522 318311 D Common Units 2019-01-08 4 C 0 1800 0.00 D Class A Common Stock 1800 316511 D Common Units 2019-01-09 4 C 0 3678 0.00 D Class A Common Stock 3678 312833 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 the Issuer, par value $0.0001 per share ("Class A Shares"), on a 1-to-1 basis. Reflects the cancellation for no consideration of a number 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 on August 15, 2018 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 $15.00 to $15.06, 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 $15.01 to $15.07, 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 $15.00 to $15.2450, 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. /s/ Tracy Daw, as Attorney-in-Fact for Andrew Mark Perlmutter 2019-01-09