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Funko (FNKO) CLO gains 9,616 shares through RSU exercises

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Funko, Inc. chief legal officer Tracy D. Daw exercised restricted stock units that vested into Class A common shares as part of equity compensation. On March 6, 2026, 5,273 RSUs converted into 5,273 Class A shares, and on March 8, 2026, 4,343 RSUs converted into 4,343 Class A shares. These transactions were coded as derivative exercises at a stated price of $0.00 per share, reflecting compensation rather than open-market buying. After these conversions, Daw directly holds 37,442 shares of Class A common stock, while a footnote notes that this total does not include any common units that may also be beneficially owned.

Positive

  • None.

Negative

  • None.
Insider Daw Tracy D
Role CHIEF LEGAL OFFICER
Type Security Shares Price Value
Exercise Restricted Stock Units 4,343 $0.00 --
Exercise CLASS A COMMON STOCK 4,343 $0.00 --
Exercise Restricted Stock Units 5,273 $0.00 --
Exercise CLASS A COMMON STOCK 5,273 $0.00 --
Holdings After Transaction: Restricted Stock Units — 0 shares (Direct); CLASS A COMMON STOCK — 37,442 shares (Direct)
Footnotes (1)
  1. 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. The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. On March 6, 2023, the Reporting Person was granted 21,094 RSUs, vesting in four equal annual 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. On March 8, 2022, the Reporting Person was granted 17,372 RSUs, vesting in four equal annual 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.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a 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). See Instruction 10.
1. Name and Address of Reporting Person*
Daw Tracy D
(Last) (First) (Middle)
C/O FUNKO, INC.
2802 WETMORE AVENUE
(Street)
EVERETT WA 98201
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Funko, Inc. [ FNKO ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CHIEF LEGAL OFFICER
3. Date of Earliest Transaction (Month/Day/Year)
03/06/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
CLASS A COMMON STOCK 03/06/2026 M 5,273 A $0(1) 33,099 D
CLASS A COMMON STOCK 03/08/2026 M 4,343 A $0(1) 37,442(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (1) 03/06/2026 M 5,273 (3) (3) CLASS A COMMON STOCK 5,273 $0 5,274 D
Restricted Stock Units (1) 03/08/2026 M 4,343 (4) (4) CLASS A COMMON STOCK 4,343 $0 0 D
Explanation of Responses:
1. 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.
2. The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person.
3. On March 6, 2023, the Reporting Person was granted 21,094 RSUs, vesting in four equal annual 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.
4. On March 8, 2022, the Reporting Person was granted 17,372 RSUs, vesting in four equal annual 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.
Remarks:
/s/ Tracy D. Daw 03/10/2026
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Funko (FNKO) report for Tracy D. Daw?

Funko reported that chief legal officer Tracy D. Daw exercised restricted stock units that vested into Class A common stock. These transactions are equity compensation events, not open-market purchases or sales, and reflect RSUs converting into shares at a stated price of $0.00 per share.

How many Funko (FNKO) shares did Tracy D. Daw acquire in this Form 4?

Tracy D. Daw acquired 9,616 Class A common shares through RSU exercises. This includes 5,273 shares from RSUs vesting on March 6, 2026 and 4,343 shares from RSUs vesting on March 8, 2026, all recorded as derivative exercises at $0.00 per share.

What are the details of the RSU grants reported for Funko (FNKO) CLO?

Footnotes state Daw received 17,372 RSUs on March 8, 2022 and 21,094 RSUs on March 6, 2023. Each grant vests in four equal annual installments on the first through fourth anniversaries of the grant date, contingent on continued employment with Funko through each vesting date.

Did Tracy D. Daw sell any Funko (FNKO) shares in this filing?

No, the Form 4 shows only derivative exercises of restricted stock units into Class A common stock. There are no transactions coded as sales, gifts, or tax-withholding dispositions, indicating no open-market selling activity was reported in this particular insider filing.

How many Funko (FNKO) shares does Tracy D. Daw hold after these RSU exercises?

After the reported RSU conversions, Daw directly holds 37,442 shares of Funko Class A common stock. A footnote clarifies that this Column 5 total does not include any common units that may also be beneficially owned, which are not quantified in this filing excerpt.

How do Funko (FNKO) restricted stock units work for this insider?

Each restricted stock unit represents a contingent right to receive one Funko Class A share or equivalent cash, at the company’s election. Vesting occurs in scheduled annual installments, subject to the executive’s continued employment through each applicable vesting date before conversion into shares.