Accession Number: | 0001209191-19-028104 |
Date: | 2019-05-03 |
Issuer: | FUNKO, INC. (FNKO) |
Original Submission Date: |
FUNDAMENTAL CAPITAL PARTNERS, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94111
KEENLEY KEVIN G.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920
MCNALLY RICHARD L.
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920
FUNKO INTERNATIONAL, LLC
C/O FUNDAMENTAL CAPITAL, LLC
4 EMBARCADERO CENTER, SUITE 1400
SAN FRANCISCO, CA 94920
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2019-05-03 | S | 22,122 | d | $20.87 | 157,878 | indirect | f2 | |
CLASS A COMMON STOCK | 2019-05-06 | S | 23,976 | d | $21.31 | 133,902 | indirect | f2 | |
CLASS A COMMON STOCK | 2019-05-07 | S | 2,412 | d | $22.01 | 131,490 | indirect | f2 | |
CLASS A COMMON STOCK | 2019-05-03 | S | 100,778 | d | $20.87 | 719,222 | indirect | f2 | |
CLASS A COMMON STOCK | 2019-05-06 | S | 109,224 | d | $21.31 | 609,998 | indirect | f2 | |
CLASS A COMMON STOCK | 2019-05-07 | S | 10,988 | d | $22.01 | 599,010 | indirect | f2 | |
CLASS B COMMON STOCK | 2019-05-03 | 0 | $0.00 | 793,138 | indirect | f2 | |||
CLASS B COMMON STOCK | 2019-05-03 | 0 | $0.00 | 3,636,538 | indirect | f2 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | shares of class b common stock, par value $0.0001 per share ("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. ("common units"). common units may be redeemed by the reporting person at any time for shares of class a common stock, par value $0.0001 per share ("class a common stock"), on a one-for-one basis. |
f2 | fundamental capital, llc ("fundamental capital") is the manager of funko international, llc ("funko international") and fundamental capital partners, llc ("fcp") is the manager of fundamental capital. richard mcnally and kevin keenley are the sole members of and hold voting membership interests in fcp. each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interests therein, if any. |
f3 | the price reported is a weighted average price. these shares of class a common stock were sold in multiple transactions at prices ranging from $20.50 to $21.50, 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 is a weighted average price. these shares of class a common stock were sold in multiple transactions at prices ranging from $21.00 to $21.53, 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 price reported is a weighted average price. these shares of class a common stock were sold in multiple transactions at prices ranging from $22.00 to $22.05, 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. |