0001123292-20-000820.txt : 20200529 0001123292-20-000820.hdr.sgml : 20200529 20200529164031 ACCESSION NUMBER: 0001123292-20-000820 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190625 FILED AS OF DATE: 20200529 DATE AS OF CHANGE: 20200529 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 20928617 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 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/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2019-06-25 2019-06-27 0001704711 Funko, Inc. FNKO 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 Stock Option (Right to buy) 23.55 2019-06-25 4 A 0 11781 0 A 2029-06-25 Class A common stock 11781 11781 I See footnote Restricted Stock Units 2019-06-25 4 A 0 4776 0 A Class A common stock 4776 4776 I See footnote Represents a grant of an option to purchase 3,927 shares of the Issuer's Class A common stock to each of Ken Brotman, Gino Dellomo and Adam Kriger, each of whom serves on the Issuer's board of directors as the Reporting Person's representative. The stock options vest in full on June 25, 2020. Represents a grant of 1,592 Restricted Stock Units ("RSUs") to each of Messrs. Brotman, Dellomo and Kriger, each of which represents a contingent right to receive one share of Class A common stock. At the option of the Issuer, each RSU may also be settled in an amount of cash equal to the value of one share of Class A common stock on the day prior to the applicable distribution or payment date. The RSUs vest in full on June 25, 2020. Each of Messrs. Brotman, Dellomo and Kriger has an agreement with the Reporting Person pursuant to which he holds the reported securities for the benefit of the Reporting Person. Accordingly, each of Messrs. Brotman, Dellomo and Kriger 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 of such securities is exempt from Schedule 16(b) pursuant to Rule 16b-3 under the Exchange Act. Remarks: This Form 4/A is being filed in order to correct the amounts of securities reported in Table II columns 5, 7 and 9 of the original Form 4, which were reported incorrectly on the original Form 4 due to a clerical error. /s/ Teresa Bernstein, Attorney-in-fact 2020-05-29