Filing Details

Accession Number:
0001683168-20-002072
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-06-25 19:34:37
Reporting Period:
2020-06-19
Accepted Time:
2020-06-25 19:34:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1355848 Genius Brands International Inc. GNUS Services-Motion Picture & Video Tape Production (7812) 204118216
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1591978 Andy Heyward C/O Genius Brands International, Inc.
190 N. Canon Drive, Floor 4
Beverly Hills CA 90210
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-06-19 5,952,381 $0.21 7,329,618 No 4 M Direct
Common Stock, Par Value $0.001 Per Share Disposition 2020-06-19 448,029 $2.94 6,881,589 No 4 S Direct
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-06-19 166,667 $1.10 7,048,256 No 4 M Direct
Common Stock, Par Value $0.001 Per Share Disposition 2020-06-19 12,545 $2.94 7,035,711 No 4 S Direct
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-06-23 5,952,381 $0.21 12,988,092 No 4 C Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 C Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Disposition 2020-06-19 5,952,381 $0.00 5,952,381 $0.21
Common Stock Warrant to Purchase Common Stock Disposition 2020-06-19 166,667 $0.00 166,667 $1.10
Common Stock Senior Secured Convertible Note Disposition 2020-06-23 1,250,000 $0.00 5,952,381 $0.21
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2020-03-13 2025-03-13 No 4 M Direct
0 2015-11-03 2020-11-03 No 4 M Direct
0 No 4 C Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share 990,728 Indirect See Note
Common Stock, Par Value $0.001 Per Share 1,234 Indirect See Note
Footnotes
  1. On June 19, 2020, the Reporting Person exercised a warrant to purchase 5,952,381 shares of common stock, par value $0.001 per share (the "Common Stock") of Genius Brands International, Inc. (the "Issuer") for $0.21 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 448,029 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 5,504,352 shares.
  2. On June 19, 2020, the Reporting Person exercised a warrant to purchase 166,667 shares of Common Stock of the Issuer for $1.10 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 12,545 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 154,122 shares.
  3. The Reporting Person indirectly owns 990,728 shares of common stock over which the Reporting Person holds voting and dispositive power.
  4. The Reporting Person indirectly owns 1,234 shares of common stock held by Heyward Living Trust.
  5. Represents post-reverse stock split share amounts.
  6. The Senior Secured Convertible Note was convertible, at the option of the Reporting Person, into shares of Common Stock at any time and from time to time.
  7. Unless earlier converted or redeemed, the Senior Secured Convertible Note was set to mature on September 30, 2021.
  8. Upon receipt of approval of the stockholders of the Issuer, the conversion price of the Senior Secured Convertible Note was reduced to $0.21. Accordingly, the Reporting Person received 5,952,381 shares of Common Stock upon conversion of the Senior Secured Convertible Note.