0001123292-20-000932.txt : 20200709 0001123292-20-000932.hdr.sgml : 20200709 20200630091118 ACCESSION NUMBER: 0001123292-20-000932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200625 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200630 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: 201000616 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 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-06-25 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 Class A Common Stock 2020-06-25 4 M 0 4776 A 4776 I See footnote Class A Common Stock 4207513 I By ACON Funko Investors Holdings 1, L.L.C. Restricted Stock Units 2020-06-25 4 M 0 4776 0 D Class A common stock 4776 0 I See footnote Represents a grant of 1,592 Restricted Stock Units ("RSUs") on June 25, 2019 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. Each RSU represents a contingent right to receive one share of Class A common stock. The RSUs vested 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. 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. 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. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the 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. /s/ Teresa Bernstein, Attorney-in-fact 2020-06-29