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