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