4//SEC Filing
ACON Funko Investors Holdings 1, L.L.C. 4
Accession 0001062993-22-009965
CIK 0001704711other
Filed
Apr 6, 8:00 PM ET
Accepted
Apr 7, 8:44 PM ET
Size
29.0 KB
Accession
0001062993-22-009965
Insider Transaction Report
Form 4
Funko, Inc.FNKO
ACON Equity GenPar, L.L.C.
Director10% Owner
Transactions
- Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying) - Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
ACON Funko Investors, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
ACON Funko Investors Holdings 1, L.L.C.
Director10% Owner
Transactions
- Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
ACON Funko Manager, L.L.C.
Director10% Owner
Transactions
- Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
ACON Funko Investors Holdings 2, L.L.C.
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
ACON Funko Investors Holdings 3, L.L.C
Director10% Owner
Transactions
- Sale
Class A Common Stock
2022-04-05$18.06/sh−10,607$191,562→ 3,489,956 total(indirect: By ACON Funko Investors Holdings 1, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−4,472$80,764→ 1,471,528 total(indirect: By ACON Funko Investors Holdings 2.5, L.L.C.) - Conversion
Class A Common Stock
2022-04-05+22,393→ 22,393 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−22,393$404,418→ 0 total(indirect: By ACON Funko Investors, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−12,486$225,497→ 4,108,320 total(indirect: By ACON Funko Investors Holdings 3.5, L.L.C.) - Sale
Class A Common Stock
2022-04-05$18.06/sh−42$759→ 13,928 total(indirect: By ACON Funko Manager, L.L.C.) - Disposition to Issuer
Class B Common Stock
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.) - Conversion
Common Units of Funko Acquisition Holdings, L.L.C.
2022-04-05−22,393→ 7,367,350 total(indirect: By ACON Funko Investors, L.L.C.)→ Class A common stock (22,393 underlying)
Holdings
- 5,900(indirect: By ACON Funko Manager, L.L.C.)
Class A Common Stock
Footnotes (8)
- [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 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.
- [F6]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.
- [F7]Gino Dellomo, a former director of the Issuer, has an agreement with the Reporting Person pursuant to which he holds the reported securities for the benefit of the Reporting Person. Accordingly, Mr. Dellomo 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 Exchange Act, or any other purpose. The grant and exercise of such securities are exempt from Schedule 16(b) pursuant to Rule 16b-3(d) and Rule 16b-6(b), respectively, under the Exchange Act.
- [F8]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
- Apr 6, 8:00 PM ET
- Accepted
- Apr 7, 8:44 PM ET
- Size
- 29.0 KB