4//SEC Filing
ACON Funko Investors Holdings 1, L.L.C. 4
Accession 0001062993-22-001095
CIK 0001704711other
Filed
Jan 13, 7:00 PM ET
Accepted
Jan 14, 7:22 PM ET
Size
42.3 KB
Accession
0001062993-22-001095
Insider Transaction Report
Form 4
Funko, Inc.FNKO
ACON Funko Manager, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.)
ACON Equity GenPar, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)
ACON Funko Investors, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying)
ACON Funko Investors Holdings 2, L.L.C.
Director10% Owner
Transactions
- Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying) - Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.)
ACON Funko Investors Holdings 3, L.L.C
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying)
ACON Funko Investors Holdings 1, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-01-13$18.52/sh−81$1,500→ 14,972 total(indirect: By ACON Funko Manager, L.L.C.) - Conversion
Class A Common Stock
2022-01-12+57,736→ 57,736 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (57,736 underlying) - Sale
Class A Common Stock
2022-01-12$18.29/sh−57,736$1,055,991→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−11,532$210,920→ 1,590,422 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−32,196$588,865→ 4,440,266 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-12−57,736→ 7,962,620 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Class A Common Stock
2022-01-13+42,968→ 42,968 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−109$1,994→ 15,053 total(indirect: By ACON Funko Manager, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−42,968$795,767→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−23,961$443,758→ 4,416,305 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-01-12$18.29/sh−27,350$500,232→ 3,771,940 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−20,355$376,975→ 3,751,585 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-01-13$18.52/sh−8,582$158,939→ 1,581,840 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-01-13−42,968→ 7,919,652 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (42,968 underlying)
Footnotes (9)
- [F1]Represents the redemption by the Issuer of common units of Funko Acquisition Holdings, L.L.C. in exchange for newly-issued shares of Class A common stock on a one-for-one basis.
- [F2]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. ACON Equity GenPar, L.L.C. is the sole managing member of, and exercises voting and investment power over shares held by, each of ACON Funko Investors Holdings 2.5, L.L.C. and ACON Funko Investors Holdings 3.5, L.L.C.
- [F3]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. Voting and investment decisions at ACON Equity GenPar, L.L.C. are made by an investment committee, 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 Securities Exchange Act of 1934, as amended (the "Exchange Act"), each 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.
- [F4]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 10, 2021.
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.05 to $18.44, 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 footnotes (5) and (8) to this Form 4.
- [F6]The shares of Class B common stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the permitted holders of common units of Funko Acquisition Holdings, L.L.C.
- [F7]Reflects the cancellation for no consideration of a number of shares of Class B common stock equal to the number of common units of Funko Acquisition Holdings, L.L.C. redeemed by the Issuer pursuant to their terms in connection with the redemption.
- [F8]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.40 to $18.64, inclusive.
- [F9]At the request of the holder, the common units may be redeemed for, at the Issuer's election, newly-issued shares of Class A common stock on a one-for-one basis or a cash payment equal to a volume weighted average market price of one share of Class A common stock for each common unit redeemed.
Issuer
Funko, Inc.
CIK 0001704711
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001721200
Filing Metadata
- Form type
- 4
- Filed
- Jan 13, 7:00 PM ET
- Accepted
- Jan 14, 7:22 PM ET
- Size
- 42.3 KB