Key facts
- This page summarizes Tracy D. Daw's Form 4 filing for Funko, Inc. (FNKO).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 02 May 2023, 20:28.
Tracy D. Daw - 01 May 2023 Form 4 Insider Report for Funko, Inc. (FNKO)
- Reporting relationship
- CHIEF LEGAL OFFICER
- Issuer ticker
- FNKO
- Reported as of
- 01 May 2023
- Net transaction value
- -$28,252
- SEC form
- 4
- Accepted by SEC
- 02 May 2023, 20:28:47 UTC
- Prior SEC filing
- 25 Apr 2023
- Next SEC filing
- 15 Aug 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Tracy D. Daw
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Tracy D. Daw filed Form 4 for Funko, Inc. (FNKO) on 02 May 2023.
Change
- Previous filing in this sequence was filed on 25 Apr 2023.
- Current net transaction value: -$28,252.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
FNKO
transaction
CLASS A COMMON STOCK
Options Exercise
- Transaction value
- $0
- Shares
- +4,520
- Change %
- +10%
- Price
- $0.000000
- Shares after
- 49,366
- Date
- 01 May 2023
- Ownership
- Direct
- Footnotes
- F1, F2
FNKO
transaction
CLASS A COMMON STOCK
Sale
- Transaction value
- $28,252
- Shares
- -3,004
- Change %
- -6.1%
- Price
- $9.40
- Shares after
- 46,362
- Date
- 02 May 2023
- Ownership
- Direct
- Footnotes
- F2, F3, F4
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
FNKO
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -4,520
- Change %
- -50%
- Price
- $0.000000
- Shares after
- 4,521
- Date
- 01 May 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 4,520
- Exercise price
- Footnotes
- F1, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 5 footnotes
Footnote F1
Restricted stock units convert into Class A Common Stock on a one-for-one basis.
Footnote F2
The total number of Class A shares reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person.
Footnote F3
Shares were sold to cover taxes following the vesting of restricted stock units pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2022.
Footnote F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.34 to $9.44, 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.
Footnote F5
On April 29, 2020, the Reporting Person was granted 18,081 restricted stock units, vesting in four equal annual installments on each of the first through fourth anniversaries of April 29, 2020, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.