Funko (FNKO) CLO Daw sells 12,793 shares and gets 123,750 RSUs

Filing Impact

(Neutral)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Funko, Inc. chief legal officer Tracy D. Daw reported an open-market sale of 12,793 shares of Class A common stock at a weighted average price of $3.647 per share on March 18, 2026, leaving 47,016 shares directly held, not counting any common units beneficially owned.

The sale was made under a pre-arranged Rule 10b5-1 trading plan adopted on November 11, 2025. On March 17, 2026, Daw also received a grant of 123,750 restricted stock units, each representing one share of Class A common stock or equivalent cash, vesting in four equal annual installments starting March 17, 2026, subject to continued employment.

Insider Trade Summary 10b5-1

Net Seller: 12,793 shares ($46,656)

Net Sell 2 txns

Insider Daw Tracy D

Role CHIEF LEGAL OFFICER

Sold 12,793 shs ($47K)

Type	Security	Shares	Price	Value
Sale	CLASS A COMMON STOCK	12,793	$3.647	$47K
Grant/Award	Restricted Stock Units	123,750	$0.00	--

Holdings After Transaction: CLASS A COMMON STOCK — 47,016 shares (Direct); Restricted Stock Units — 123,750 shares (Direct)

Footnotes (1)

Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 11, 2025 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.50 to $3.93, 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. The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person. 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 RSUs vest in four equal installments on each of the first through fourth anniversaries of March 17, 2026, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.

Form 4 Insider Transactions: What Each Field Means →

03/19/2026 - 05:59 PM

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

WASHINGTON

98201

(City)

(State)

(Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
CLASS A COMMON STOCK	03/18/2026		S		12,793⁽¹⁾	D	$3.647⁽²⁾	47,016⁽³⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽⁴⁾	03/17/2026		A		123,750		⁽⁵⁾	⁽⁵⁾	CLASS A COMMON STOCK	123,750	$0	123,750	D

Explanation of Responses:

1. Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 11, 2025 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.50 to $3.93, 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.

3. The total number of Class A common stock reported in Column 5 does not reflect any common units beneficially owned by the Reporting Person.

4. 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.

5. The RSUs vest in four equal installments on each of the first through fourth anniversaries of March 17, 2026, subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date.

Remarks:

	/s/ Tracy D. Daw	03/19/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

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

Funko’s chief legal officer Tracy D. Daw reported selling 12,793 shares of Class A common stock and receiving 123,750 restricted stock units. The sale occurred on March 18, 2026, while the RSU grant was made on March 17, 2026 as equity compensation.

How many Funko (FNKO) shares did Tracy D. Daw sell and at what price?

Tracy D. Daw sold 12,793 shares of Funko Class A common stock at a weighted average price of $3.647 per share. Footnotes state the shares were sold in multiple trades between $3.50 and $3.93 per share, all reported as one aggregated transaction.

How many Funko (FNKO) shares does Tracy D. Daw hold after the reported sale?

After the open-market sale, Tracy D. Daw directly holds 47,016 shares of Funko Class A common stock. A footnote clarifies this total does not include any common units she beneficially owns, so her overall economic exposure could be higher than the reported share count.

What are the terms of the 123,750 RSUs granted to Tracy D. Daw by Funko (FNKO)?

Tracy D. Daw was granted 123,750 restricted stock units, each representing one Funko Class A share or equivalent cash. These RSUs vest in four equal installments on the first through fourth anniversaries of March 17, 2026, contingent on her continued employment with Funko.

Was the Funko (FNKO) insider sale by Tracy D. Daw under a Rule 10b5-1 plan?

Yes. The filing states the shares were sold under a Rule 10b5-1 trading plan adopted on November 11, 2025. Such pre-arranged plans schedule trades in advance, which can make the timing of individual transactions less indicative of short-term views on the stock.

How do the new RSUs affect Tracy D. Daw’s equity exposure to Funko (FNKO)?

The grant of 123,750 RSUs significantly increases Tracy D. Daw’s potential equity exposure to Funko. Each RSU can settle into one share or cash, and vesting over four years ties much of her future compensation to the company’s long-term performance and her continued service.