FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/31/2025 |
3. Issuer Name and Ticker or Trading Symbol
Funko, Inc. [ FNKO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 6,778 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 12/01/2031 | Class A Common Stock | 8,100 | $15.68 | D | |
Restricted Stock Units | (2) | (2) | Class A Common Stock | 688 | (2) | D | |
Stock Option (right to buy) | (3) | 03/08/2032 | Class A Common Stock | 7,500 | $17.09 | D | |
Restricted Stock Units | (4) | (4) | Class A Common Stock | 750 | (4) | D | |
Stock Option (right to buy) | (5) | 03/06/2033 | Class A Common Stock | 23,400 | $9.77 | D | |
Restricted Stock Units | (6) | (6) | Class A Common Stock | 4,688 | (6) | D | |
Stock Option (right to buy) | (7) | 03/13/2034 | Class A Common Stock | 83,900 | $6.37 | D | |
Restricted Stock Units | (8) | (8) | Class A Common Stock | 25,200 | (8) | D | |
Stock Option (right to buy) | (9) | 03/12/2035 | Class A Common Stock | 16,300 | $7.38 | D | |
Restricted Stock Units | (10) | (10) | Class A Common Stock | 21,705 | (10) | D |
Explanation of Responses: |
1. The option vested and became exercisable with respect to 25% of the shares subject thereto on the first anniversary of December 1, 2021 and the remaining 75% of the option has vested or will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
2. Each 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 original grant of 2,751 RSUs has vested or will vest in four equal installments on each of the first through fourth anniversaries of December 1, 2021, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
3. The option vested and became exercisable with respect to 25% of the shares subject thereto on the first anniversary of March 8, 2022 and the remaining 75% of the option has vested or will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
4. Each 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 original grant of 2,997 RSUs has vested or will vest in four equal installments on each of the first through fourth anniversaries of March 8, 2022, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
5. The option vested and became exercisable with respect to 25% of the shares subject thereto on the first anniversary of March 6, 2023 and the remaining 75% of the option has vested or will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
6. Each 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 original grant of 9,375 RSUs has vested or will vest in four equal installments on each of the first through fourth anniversaries of March 6, 2023, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
7. The option vested and became exercisable with respect to 25% of the shares subject thereto on the first anniversary of March 13, 2024 and the remaining 75% of the option has vested or will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
8. Each 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 original grant of 33,600 RSUs has vested or will vest in four equal installments on each of the first through fourth anniversaries of March 13, 2024, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
9. The option will vest and become exercisable with respect to 25% of the shares subject thereto on the first anniversary of March 12, 2025 and the remaining 75% of the option will vest in thirty-six equal monthly installments thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
10. Each 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 original grant of 21,705 RSUs will vest in four equal installments on each of the first through fourth anniversaries of March 12, 2025, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date. |
Remarks: |
Exhibit List - Exhibit 24 - Power of Attorney |
/s/ Tracy Daw, as Attorney-in-Fact for Husnal Shah | 08/12/2025 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |