4//SEC Filing
Pompan Bruce L 4
Accession 0001019687-06-000005
CIK 0001098016other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 6:44 PM ET
Size
25.9 KB
Accession
0001019687-06-000005
Insider Transaction Report
Form 4
GENIUS PRODUCTS INCGNPI.OB
Pompan Bruce L
Director
Transactions
- Other
Common Stock
2005-07-20+58,188→ 241,163 total - Other
Common Stock Warrants (right to buy)
2005-03-24$2.20/sh+665,000$1,463,000→ 1,094,520 totalExercise: $2.20Exp: 2014-03-23→ Common Stock (665,000 underlying) - Award
Director Stock Options (right to buy)
2005-02-04+429,520→ 429,520 totalExercise: $1.63Exp: 2015-02-04→ Common Stock (429,520 underlying) - Other
Common Stock
2005-03-22$2.56/sh+182,975$468,416→ 182,975 total - Other
Common Stock Warrants (right to buy)
2005-03-07$2.56/sh+21,676$55,491→ 1,332,952 totalExercise: $2.56Exp: 2010-03-06→ Common Stock (21,676 underlying) - Other
Common Stock Warrants (right to buy)
2005-03-22$2.78/sh+10,474$29,118→ 1,365,102 totalExercise: $2.56Exp: 2010-03-21→ Common Stock (10,474 underlying) - Other
Common Stock Warrants (right to buy)
2005-05-20$1.75/sh+57,082$99,894→ 1,432,658 totalExercise: $1.75Exp: 2015-05-19→ Common Stock (57,082 underlying) - Other
Common Stock Warrants (right to buy)
2005-03-07$1.58/sh+216,756$342,474→ 1,311,276 totalExercise: $1.58Exp: 2015-03-06→ Common Stock (216,756 underlying)
Footnotes (9)
- [F1]Shares of common stock and warrants to acquire common stock were acquired by the reporting person and Cappello Capital Corp. as sales commission in connection with the merger of Genius Products, Inc, with American Vantage Media.
- [F2]Cappello Capital Corp. received 175,000 shares of common stock granted on July 20, 2005 pursuant to an engagement letter between the Issuer and Cappello Capital Corp. The shares were subsequently transferred to employees of Cappello Capital Corp. Mr. Pompan received 58,188 shares of Common Stock from Cappello Capital Corp.
- [F3]The option becomes exercisable as follows: 1/36 per month starting at the first month anniversary of the date of the grant. The original number of options granted was 429,520. Mr. Pompan resigned from Board service on July 19, 2005, with total vested options of 71,587.
- [F4]Option grant for Board Director.
- [F5]Warrants acquired pursuant to an engagement letter dated March 24, 2004.
- [F6]Cappello Capital Corp. received 2,000,000 warrants to buy common stock granted on March 24, 2004 pursuant to an engagement letter between the Issuer and Cappello Capital Corp. The warrants were subsequently transferred to employees of Cappello Capital Corp. Currently, 665,000 warrants transferred to Mr. Pompan are exercisable.
- [F7]Warrants to acquire common stock were acquired by the reporting person and Cappello Capital Corp. as commission in connection with a private placement of common stock and warrants to acquire common stock of Genius products, Inc.
- [F8]Warrants to acquire common stock were immediately exercisable upon acquisition.
- [F9]Warrants to acquire common stock were acquired by the reporting person and Cappello Capital Corp. as commission in connection with a private placement of common stock and warrants to acquire common stock of Genius Products, Inc.
Documents
Issuer
GENIUS PRODUCTS INC
CIK 0001098016
Entity typeother
Related Parties
1- filerCIK 0001317404
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 6:44 PM ET
- Size
- 25.9 KB