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Funko (NASDAQ: FNKO) board awards options and RSUs tied to TCG Capital

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

Rhea-AI Filing Summary

Funko, Inc. reported that TCG Capital Management, LP, a director and more than ten percent owner, was granted equity-based compensation linked to Class A Common Stock. The grants were made to directors Jesse Jacobs and Mike Kerns for their board service but are held for the benefit of TCG Capital Management.

The filing shows 42,910 options to purchase Class A Common Stock at an exercise price of $5.22 per share, expiring on June 3, 2036, and 28,736 restricted stock units (RSUs), each representing a right to one share or equivalent cash. For each director, 21,445 options and 14,368 RSUs were granted on June 3, 2026, vesting on June 3, 2027, subject to continued service on the board.

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Insider TCG Capital Management, LP
Role null
Type Security Shares Price Value
Grant/Award Restricted Stock Units 28,736 $0.00 --
Grant/Award Option to Purchase Class A Common Stock 42,910 $0.00 --
Holdings After Transaction: Restricted Stock Units — 28,736 shares (Indirect, See footnote); Option to Purchase Class A Common Stock — 42,910 shares (Indirect, See footnote)
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 14,368 RSUs granted to Jesse Jacobs on June 3, 2026 will vest on June 3, 2027, subject to Mr. Jacobs' continued service with the Issuer through the vesting date. The 14,368 RSUs granted to Mike Kerns on June 3, 2026 will vest on June 3, 2027, subject to Mr. Kerns' continued service with the Issuer through the vesting date. The RSUs reported on this row were granted to Jesse Jacobs and Mike Kerns as compensation for their service on the Issuer's board of directors and are held by Mr. Jacobs and Mr. Kerns for the benefit of the reporting person. The options reported on this row were granted to Jesse Jacobs and Mike Kerns as compensation for their service on the Issuer's board of directors and are held by Mr. Jacobs and Mr. Kerns for the benefit of the reporting person. The 21,445 options granted to Mr. Jacobs on June 3, 2026 will vest and become exercisable on June 3, 2027, subject to Mr. Jacobs' continued service with the Issuer through the vesting date. The 21,445 options granted to Mr. Kerns on June 3, 2026 will vest and become exercisable on June 3, 2027, subject to Mr. Kerns' continued service with the Issuer through the vesting date.
Options granted 42,910 options Option to Purchase Class A Common Stock granted June 3, 2026
Option exercise price $5.22 per share Exercise price for options expiring June 3, 2036
Option expiration June 3, 2036 Expiration date for granted options
RSUs granted 28,736 RSUs Restricted Stock Units linked to Class A Common Stock
Per-director options 21,445 options Granted to each of Jesse Jacobs and Mike Kerns
Per-director RSUs 14,368 RSUs Granted to each of Jesse Jacobs and Mike Kerns
Vesting date June 3, 2027 Vesting for both options and RSUs, subject to continued service
Restricted Stock Units financial
"The RSUs reported on this row were granted to Jesse Jacobs and Mike Kerns as compensation"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
contingent right financial
"Each restricted stock unit ("RSU") represents a contingent right to receive one share"
Class A Common Stock financial
"Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock"
Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.
vest and become exercisable financial
"The 21,445 options granted to Mr. Jacobs on June 3, 2026 will vest and become exercisable"
board of directors financial
"granted to Jesse Jacobs and Mike Kerns as compensation for their service on the Issuer's board of directors"
The Board of Directors is a group of people chosen by a company's owners to help make big decisions and oversee how the company is run. They act like a team of advisors or managers, making sure the company stays on track and meets its goals. Their choices can influence the company's success and how it grows.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
TCG Capital Management, LP
(Last)(First)(Middle)
12180 MILLENNIUM DRIVE,
SUITE 500
(Street)
PLAYA VISTA CALIFORNIA 90094
(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)
XDirectorX10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/03/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)06/03/2026A28,736(2) (1) (1)Class A Common Stock28,736$028,736ISee footnote(2)
Option to Purchase Class A Common Stock$5.2206/03/2026A42,910(3) (3)06/03/2036Class A Common Stock42,910$042,910ISee footnote(3)
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. The 14,368 RSUs granted to Jesse Jacobs on June 3, 2026 will vest on June 3, 2027, subject to Mr. Jacobs' continued service with the Issuer through the vesting date. The 14,368 RSUs granted to Mike Kerns on June 3, 2026 will vest on June 3, 2027, subject to Mr. Kerns' continued service with the Issuer through the vesting date.
2. The RSUs reported on this row were granted to Jesse Jacobs and Mike Kerns as compensation for their service on the Issuer's board of directors and are held by Mr. Jacobs and Mr. Kerns for the benefit of the reporting person.
3. The options reported on this row were granted to Jesse Jacobs and Mike Kerns as compensation for their service on the Issuer's board of directors and are held by Mr. Jacobs and Mr. Kerns for the benefit of the reporting person. The 21,445 options granted to Mr. Jacobs on June 3, 2026 will vest and become exercisable on June 3, 2027, subject to Mr. Jacobs' continued service with the Issuer through the vesting date. The 21,445 options granted to Mr. Kerns on June 3, 2026 will vest and become exercisable on June 3, 2027, subject to Mr. Kerns' continued service with the Issuer through the vesting date.
Remarks:
TCG 3.0 Fuji, LP, which is an affiliate of the reporting person managed by the reporting person, is party to a Stockholders Agreement with the Issuer which gives the reporting person and its affiliates the right to nominate up to two directors to the Issuer's board of directors, subject to certain ownership thresholds. Jesse Jacobs and Mike Kerns serve on the Issuer's board of directors pursuant to this right. Mr. Jacobs is Managing Partner of the reporting person, and Mr. Kerns is a Co-founder and Partner of the reporting person. Accordingly, each of Mr. Jacobs and Mr. Kerns may be determined to represent the interests of the reporting person on the Board of Directors of the Issuer, and accordingly, the reporting person may be deemed to be directors for purposes of Section of the Securities Exchange Act of 1934, as amended.
/s/ Lauren Goldberg, General Counsel of General Partner06/05/2026
** Signature of Reporting PersonDate
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 equity grants did TCG Capital Management report for Funko (FNKO)?

TCG Capital Management reported grants of options and RSUs tied to Funko stock. The filing shows 42,910 stock options at a $5.22 exercise price and 28,736 restricted stock units, all relating to Class A Common Stock and held for TCG Capital Management’s benefit.

Who actually received the Funko (FNKO) options and RSUs in this Form 4?

The options and RSUs were granted to Jesse Jacobs and Mike Kerns. Both serve on Funko’s board, and the awards are held by them for the benefit of TCG Capital Management, which is the reporting person on the Form 4.

What are the key terms of the Funko (FNKO) stock options granted?

The grant includes 42,910 options to purchase Class A Common Stock. Each option has a $5.22 per share exercise price, was granted on June 3, 2026, and will expire on June 3, 2036, with vesting scheduled for June 3, 2027.

How many restricted stock units were granted in the Funko (FNKO) Form 4?

The filing reports 28,736 restricted stock units (RSUs). These RSUs correspond one-for-one to Class A Common shares or equivalent cash, split equally as 14,368 RSUs for Jesse Jacobs and 14,368 RSUs for Mike Kerns as board compensation.

When do the Funko (FNKO) RSUs and options reported by TCG Capital vest?

Both the RSUs and options are scheduled to vest on June 3, 2027. Vesting for each award is conditioned on Jesse Jacobs and Mike Kerns continuing their service on Funko’s board of directors through that vesting date.

Does TCG Capital Management directly hold the Funko (FNKO) awards?

The awards are held by the directors for the benefit of TCG Capital Management. Footnotes explain that Jacobs and Kerns hold the RSUs and options, but the economic benefit is attributed to the reporting person, TCG Capital Management, LP.