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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	C	Direct

Reported Derivative Transactions

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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

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2020-03-13	2025-03-13	No	4	M	Direct
2015-11-03	2020-11-03	No	4	M	Direct
		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

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.
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.
The Reporting Person indirectly owns 990,728 shares of common stock over which the Reporting Person holds voting and dispositive power.
The Reporting Person indirectly owns 1,234 shares of common stock held by Heyward Living Trust.
Represents post-reverse stock split share amounts.
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.
Unless earlier converted or redeemed, the Senior Secured Convertible Note was set to mature on September 30, 2021.
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.