Daw Tracy D 4

4 · Funko, Inc. · Filed Mar 19, 2026

AI-generated summary of this filing

Updated Mar 19, 2026

Funko (FNKO) Chief Legal Officer Tracy D. Daw Receives RSU Award

What Happened

Tracy D. Daw, Chief Legal Officer of Funko, was granted 123,750 restricted stock units (RSUs) on 2026-03-17 (reported as a derivative award, $0 cash paid) and sold 12,793 shares on 2026-03-18 in an open-market transaction for a weighted-average price of $3.65, generating approximately $46,656 in proceeds. The RSU grant represents contingent rights to receive one share of Class A common stock (or cash at the issuer’s election).

Key Details

Transactions: RSU award (Code A) on 2026-03-17; open-market sale (Code S) on 2026-03-18.
Sale price: weighted average $3.65; sale prices ranged from $3.50 to $3.93 (report notes per-share breakdown available on request).
Sale method: shares sold pursuant to a 10b5-1 trading plan adopted Nov 11, 2025 (footnote F1).
RSU terms: each RSU equals one share (or cash equivalent) and vests in four equal installments on the first through fourth anniversaries of March 17, 2026, subject to continued employment (footnotes F4–F5).
Shares owned after the transaction: not specified in the filing; footnote notes common units held by the reporting person are not reflected (F3).
Filing timeliness: Reported on 2026-03-19 for transactions on 2026-03-17 and 2026-03-18; no late-filing flag indicated.

Context

The RSU award is a compensation grant and does not represent immediately issued shares; vesting is time-based over four years.
The small open-market sale was executed under a pre-established 10b5-1 plan, which is commonly used to systematically sell shares and is generally considered routine rather than a spontaneous signal of sentiment.
No indication the reporting person is a 10% owner; this is officer-level activity.

Form 4

Period: 2026-03-17

CHIEF LEGAL OFFICER

Transactions

Sale
CLASS A COMMON STOCK
[F1][F2][F3]
2026-03-18$3.65/sh−12,793$46,656→ 47,016 total
Award
Restricted Stock Units
[F4][F5]
2026-03-17+123,750→ 123,750 total
→ CLASS A COMMON STOCK (123,750 underlying)

Footnotes (5)

[F1]Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 11, 2025 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
[F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.50 to $3.93, 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 this footnote.
[F3]The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person.
[F4]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.
[F5]The RSUs vest in four equal installments on each of the first through fourth anniversaries of March 17, 2026, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.

Signature

/s/ Tracy D. Daw|2026-03-19

1 file