4//SEC Filing
Heyward Andy 4
Accession 0001683168-22-008315
CIK 0001355848other
Filed
Dec 8, 7:00 PM ET
Accepted
Dec 9, 4:31 PM ET
Size
9.9 KB
Accession
0001683168-22-008315
Insider Transaction Report
Form 4
HEYWARD ANDREW A
DirectorCEO10% Owner
Transactions
- Exercise/Conversion
Common Stock, par value $0.001 per share
2022-12-07+937,500→ 15,339,282 total - Exercise/Conversion
Restricted Stock Units
2022-12-07−937,500→ 13,125,000 total→ Common Stock, par value $0.001 per share (937,500 underlying)
Holdings
- 990,728(indirect: See Footnote)
Common Stock, par value $0.001 per share
- 1,234(indirect: See Footnote)
Common Stock, par value $0.001 per share
Footnotes (4)
- [F1]Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.
- [F2]The Reporting Person indirectly owns 990,728 shares of common stock over which the Reporting Person holds voting and dispositive power.
- [F3]The Reporting Person indirectly owns 1,234 shares of common stock held by Heyward Living Trust.
- [F4]On December 7, 2020, the Reporting Person was granted 15,000,000 restricted stock units pursuant to a restricted stock unit agreement, of which (i) 7,500,000 shares vested in four equal installments on the first, second, third and fourth anniversaries of December 7, 2020, and (ii) 7,500,000 shares (characterized as Performance Shares in previous Form 4) vested in four equal installments on the first, second, third and fourth anniversaries of December 7, 2020, based on the achievement of certain performance goals, each subject to the Reporting Person's continued employment. Such agreement was amended and restated in June 2021 to revise the vesting provisions so that (i) an aggregate of 3,750,000 shares vested in four equal installments on the first, second, third and fourth anniversaries of December 7, 2020, and (ii) an aggregate of 11,250,000 shares vested based on achievement of certain performance goals, each subject to the Reporting Person's continued employment.
Documents
Issuer
Genius Brands International, Inc.
CIK 0001355848
Entity typeother
Related Parties
1- filerCIK 0001591978
Filing Metadata
- Form type
- 4
- Filed
- Dec 8, 7:00 PM ET
- Accepted
- Dec 9, 4:31 PM ET
- Size
- 9.9 KB