0001019687-13-002420.txt : 20130621 0001019687-13-002420.hdr.sgml : 20130621 20130621142325 ACCESSION NUMBER: 0001019687-13-002420 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130515 FILED AS OF DATE: 20130621 DATE AS OF CHANGE: 20130621 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Genius Brands International, Inc. CENTRAL INDEX KEY: 0001355848 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812] IRS NUMBER: 204118216 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3111 CAMINO DEL RIO NORTH, SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92108 BUSINESS PHONE: 619-481-6511 MAIL ADDRESS: STREET 1: 3111 CAMINO DEL RIO NORTH, SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92108 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC ENTERTAINMENT CORP DATE OF NAME CHANGE: 20060310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALABAN HOWARD CENTRAL INDEX KEY: 0001116698 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54389 FILM NUMBER: 13926681 BUSINESS ADDRESS: STREET 1: 740 LOMAS SANTA FE #210 CITY: SOLANA BEACH STATE: CA ZIP: 92075 MAIL ADDRESS: STREET 1: 740 LOMAS SANTA FE. #210 CITY: SOLANA BEACH STATE: CA ZIP: 92075 4 1 balaban_howard-f4.xml OWNERSHIP DOCUMENT X0306 4 2013-05-15 0 0001355848 Genius Brands International, Inc. GNUS 0001116698 BALABAN HOWARD C/O GENIUS BRANDS INTERNATIONAL, INC. 3111 CAMINO DEL RIO NORTH, SUITE 400 SAN DIEGO CA 92108 1 1 1 0 Executive VP of New Bus. Dev. Options 0.44 2009-01-20 4 D 0 2000000 A 2014-01-20 Common Stock 2000000 1200000 D Options 0.20 2013-05-15 4 A 0 750000 A 2013-05-15 2018-05-15 Common Stock 750000 1950000 D The Reporting Person agreed to cancel 2,000,000 options, 1,250,000 of which vested on 1/20/2009 and 750,000 of which vested on 12/31/2009. Issued directly to reporting person from issuer pursuant to Issuer's Stock Option Plan on May 15, 2013. Represents, in addition to those options that are the subject of this report: (i) 1,000,000 options at an exercise price of $0.44, granted on 4/11/2011, with 250,000 of such options vesting on the grant date and 250,000 vesting upon each of the first three anniversaries of the grant date, (ii) 100,000 options exercisable on 12/31/2011 and expiring on 12/31/2016 at an exercise price of $0.22, and (iii) 100,000 options exercisable on 12/31/2012 and expiring on 12/31/2017 at an exercise price of $0.20. /s/ Howard Balaban 2013-06-21