4//SEC Filing
Heyward Andy 4
Accession 0001683168-20-002072
CIK 0001355848other
Filed
Jun 24, 8:00 PM ET
Accepted
Jun 25, 7:34 PM ET
Size
20.8 KB
Accession
0001683168-20-002072
Insider Transaction Report
Form 4
HEYWARD ANDREW A
DirectorCEO10% Owner
Transactions
- Exercise/Conversion
Common Stock, par value $0.001 per share
2020-06-19$1.10/sh+166,667$183,334→ 7,048,256 total - Exercise/Conversion
Warrant to Purchase Common Stock
2020-06-19−5,952,381→ 0 totalExercise: $0.21From: 2020-03-13Exp: 2025-03-13→ Common Stock (5,952,381 underlying) - Conversion
Senior Secured Convertible Note
2020-06-23−1,250,000→ 0 totalExercise: $0.21→ Common Stock (5,952,381 underlying) - Sale
Common Stock, par value $0.001 per share
2020-06-19$2.94/sh−12,545$36,882→ 7,035,711 total - Exercise/Conversion
Warrant to Purchase Common Stock
2020-06-19−166,667→ 0 totalExercise: $1.10From: 2015-11-03Exp: 2020-11-03→ Common Stock (166,667 underlying) - Exercise/Conversion
Common Stock, par value $0.001 per share
2020-06-19$0.21/sh+5,952,381$1,250,000→ 7,329,618 total - Sale
Common Stock, par value $0.001 per share
2020-06-19$2.94/sh−448,029$1,317,205→ 6,881,589 total - Conversion
Common Stock, par value $0.001 per share
2020-06-23$0.21/sh+5,952,381$1,250,000→ 12,988,092 total
Holdings
- 990,728(indirect: See Note)
Common Stock, par value $0.001 per share
- 1,234(indirect: See Note)
Common Stock, par value $0.001 per share
Footnotes (8)
- [F1]On June 19, 2020, the Reporting Person exercised a warrant to purchase 5,952,381 shares of common stock, par value $0.001 per share (the "Common Stock") of Genius Brands International, Inc. (the "Issuer") for $0.21 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 448,029 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 5,504,352 shares.
- [F2]On June 19, 2020, the Reporting Person exercised a warrant to purchase 166,667 shares of Common Stock of the Issuer for $1.10 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 12,545 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 154,122 shares.
- [F3]The Reporting Person indirectly owns 990,728 shares of common stock over which the Reporting Person holds voting and dispositive power.
- [F4]The Reporting Person indirectly owns 1,234 shares of common stock held by Heyward Living Trust.
- [F5]Represents post-reverse stock split share amounts.
- [F6]The Senior Secured Convertible Note was convertible, at the option of the Reporting Person, into shares of Common Stock at any time and from time to time.
- [F7]Unless earlier converted or redeemed, the Senior Secured Convertible Note was set to mature on September 30, 2021.
- [F8]Upon receipt of approval of the stockholders of the Issuer, the conversion price of the Senior Secured Convertible Note was reduced to $0.21. Accordingly, the Reporting Person received 5,952,381 shares of Common Stock upon conversion of the Senior Secured Convertible Note.
Documents
Issuer
Genius Brands International, Inc.
CIK 0001355848
Entity typeother
Related Parties
1- filerCIK 0001591978
Filing Metadata
- Form type
- 4
- Filed
- Jun 24, 8:00 PM ET
- Accepted
- Jun 25, 7:34 PM ET
- Size
- 20.8 KB