0001683168-20-004238.txt : 20201209
0001683168-20-004238.hdr.sgml : 20201209
20201209215335
ACCESSION NUMBER: 0001683168-20-004238
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201207
FILED AS OF DATE: 20201209
DATE AS OF CHANGE: 20201209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jaffa Michael
CENTRAL INDEX KEY: 0001738277
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37950
FILM NUMBER: 201379303
MAIL ADDRESS:
STREET 1: C/O GENIUS BRANDS INTERNATIONAL, INC.
STREET 2: 131 S. RODEO DRIVE, SUITE 250
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90212
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: 190 N. CANON
STREET 2: 4TH FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90210
BUSINESS PHONE: 310-273-4222
MAIL ADDRESS:
STREET 1: 190 N. CANON
STREET 2: 4TH FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90210
FORMER COMPANY:
FORMER CONFORMED NAME: PACIFIC ENTERTAINMENT CORP
DATE OF NAME CHANGE: 20060310
4
1
ownership.xml
X0306
4
2020-12-07
0
0001355848
Genius Brands International, Inc.
GNUS
0001738277
Jaffa Michael
C/O GENIUS BRANDS INTERNATIONAL, INC.
190 N. CANON DRIVE, FLOOR 4
BEVERLY HILLS
CA
90210
0
1
0
0
Corporate Secretary
Employee Stock Option Grant (Right to Buy)
1.39
2020-12-07
4
A
0
1000000
0
A
2030-12-06
Common Stock, par value $0.001 per share
1000000
1000000
D
Restricted Stock Units
2020-12-07
4
A
0
500000
0
A
Common Stock, par value $0.001 per share
500000
500000
D
Employee Stock Option Grant (Right to Buy)
1.99
2019-03-07
4
A
0
15000
0
A
2029-03-06
Common Stock, par value $0.001 per share
15000
15000
D
Employee Stock Option Grant (Right to Buy)
2.09
2018-09-25
4
A
0
85088
0
A
2023-09-25
Common Stock, par value $0.001 per share
85088
85088
D
The option was fully vested on the date of grant with respect to 400,000 shares, and 200,000 shares vest on each of the first, second and third anniversaries of December 7, 2020, subject to the Reporting Person's continued employment.
Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.
The restricted stock units vest as follows: 166,666 shares on December 7, 2021, 166,666 shares on December 7, 2022, and 166,668 shares on December 7, 2023, subject to the Reporting Person's continued employment. Vested shares will be delivered to the Reporting Person in equal installments in each calendar quarter following the vesting date.
The option vested in full on December 31, 2019.
The options shall vest over three years as follows: options to purchase 28,363 shares shall vest on April 18, 2019, 28,363 shares shall vest on April 18, 2020 and 28,362 shares shall vest on April 18, 2021.
/s/ Michael Jaffa
2020-12-09