Yves Le Pendeven - Mar 6, 2025 Form 4 Insider Report for Funko, Inc. (FNKO)

Role
CFO
Signature
/s/ Tracy D. Daw as Attorney-in-Fact for Yves Le Pendeven
Stock symbol
FNKO
Transactions as of
Mar 6, 2025
Transactions value $
-$11,546
Form type
4
Date filed
3/10/2025, 07:47 PM
Previous filing
Sep 17, 2024
Next filing
Mar 14, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction FNKO CLASS A COMMON STOCK Options Exercise $0 +2.74K +8.41% $0.00 35.2K Mar 6, 2025 Direct F1
transaction FNKO CLASS A COMMON STOCK Sale -$8.93K -1.01K -2.85% $8.88 34.2K Mar 7, 2025 Direct F2, F3
transaction FNKO CLASS A COMMON STOCK Options Exercise $0 +896 +2.62% $0.00 35.1K Mar 8, 2025 Direct F1
transaction FNKO CLASS A COMMON STOCK Sale -$2.61K -320 -0.91% $8.16 34.8K Mar 10, 2025 Direct F2, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction FNKO Restricted Stock Units Options Exercise $0 -2.74K -33.34% $0.00 5.47K Mar 6, 2025 CLASS A COMMON STOCK 2.74K Direct F1, F5
transaction FNKO Restricted Stock Units Options Exercise $0 -896 -50% $0.00 896 Mar 8, 2025 CLASS A COMMON STOCK 896 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 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.
F2 Shares were sold to cover taxes upon the vesting of restricted stock units pursuant to a Rule 10b5-1 sell to cover instruction date June 14 2023.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.87 to $9.12, 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.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.16 to $8.17, 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.
F5 The original grant of 10,938 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.
F6 The original grant of 3,583 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.