0001140361-23-051629.txt : 20231106 0001140361-23-051629.hdr.sgml : 20231106 20231106175301 ACCESSION NUMBER: 0001140361-23-051629 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231102 FILED AS OF DATE: 20231106 DATE AS OF CHANGE: 20231106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCG Capital Management, LP CENTRAL INDEX KEY: 0001930483 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38274 FILM NUMBER: 231380968 BUSINESS ADDRESS: STREET 1: 12180 MILLENNIUM DRIVE STREET 2: SUITE 500 CITY: PLAYA VISTA STATE: CA ZIP: 90094 BUSINESS PHONE: (310) 633-2900 MAIL ADDRESS: STREET 1: 12180 MILLENNIUM DRIVE STREET 2: SUITE 500 CITY: PLAYA VISTA STATE: CA ZIP: 90094 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 X0508 4 2023-11-02 0001704711 Funko, Inc. FNKO 0001930483 TCG Capital Management, LP 12180 MILLENNIUM DRIVE SUITE 500 PLAYA VISTA CA 90094 true true false Restricted Stock Units 2023-11-02 4 A 0 4688 0 A Class A Common Stock 4688 4688 I See footnote Stock Option (Right to Buy) 7.51 2023-11-02 4 A 0 11700 0 A 2024-11-02 Class A Common Stock 11700 11700 I See footnote Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock or, at the election of the Issuer, an equivalent cash payment. The RSUs granted to Mike Kerns on November 2, 2023 will vest on November 2, 2024, subject to Mr. Kerns' continued service with the Issuer through the vesting date. The RSUs reported on this row were granted to Mr. Kerns as compensation for his service on the Issuer's board of directors and are held by Mr. Kerns for the benefit of the reporting person. The options reported on this row were granted to Mr. Kerns as compensation for his service on the Issuer's board of directors and are held by Mr. Kerns for the benefit of the reporting person. The options granted to Mr. Kerns on November 2, 2024 will vest and become exercisable on November 2, 2024, subject to Mr. Kerns' continued service with the Issuer through the vesting date. TCG 3.0 Fuji, LP, which is an affiliate of the reporting person managed by the reporting person, is party to a Stockholders Agreement with the Issuer which gives the reporting person and its affiliates the right to nominate up to two directors to the Issuer's board of directors, subject to certain ownership thresholds. Mike Kerns serves on the Issuer's board of directors pursuant to this right. Mr. Kerns is a Co-founder and Partner of the reporting person. Accordingly, Mr. Kerns may be determined to represent the interests of the reporting person on the Board of Directors of the Issuer, and accordingly, the reporting person may be deemed to be a director for purposes of Section of the Securities Exchange Act of 1934, as amended. /s/ Lauren Goldberg, General Counsel of General Partner 2023-11-06