Heyward Andy 4

4 · Genius Brands International, Inc. · Filed Dec 9, 2020

Form 4

Period: 2020-12-07

DirectorCEO10% Owner

Transactions

Award
Employee Stock Option Grant (Right to Buy)
2020-12-07+5,000,000→ 5,000,000 total
Exercise: $1.39Exp: 2030-12-06→ Common Stock, par value $0.001 per share (5,000,000 underlying)
Award
Performance Shares
2020-12-07+7,500,000→ 7,500,000 total
→ Common Stock, par value $0.001 per share (7,500,000 underlying)
Award
Restricted Stock Units
2020-12-07+7,500,000→ 7,500,000 total
→ Common Stock, par value $0.001 per share (7,500,000 underlying)

Holdings

Footnotes (6)

[F1]The Reporting Person indirectly owns 990,728 shares of common stock over which the Reporting Person holds voting and dispositive power.
[F2]The Reporting Person indirectly owns 1,234 shares of common stock held by Heyward Living Trust.
[F3]The option was fully vested on the date of grant.
[F4]Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.
[F5]The restricted stock units vest in four equal installments on the first, second, third and fourth anniversaries of December 7, 2020, 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.
[F6]Each performance share represents a contingent right to receive one share of GNUS common stock. The performance shares vest in four equal installments on the first, second, third and fourth anniversaries of December 7, 2020, based on achievement of certain performance goals and subject to the Reporting Person's continued employment.

Documents

1 file