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