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
- 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.