SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/07/2019 | 3. Issuer Name and Ticker or Trading Symbol Genius Brands International, Inc. [ GNUS ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.001 per share | 55,000 | I | See Note(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Secured Convertible Note | 08/20/2018 | (2)(3) | Common Stock, par value $0.001 per share | 40,000(4) | 2.5 | I | See Note(1) |
Common Stock Purchase Warrant | 02/20/2018 | 02/20/2023 | Common Stock, par value $0.001 per share | 40,000 | 3 | I | See Note(1) |
Common Stock Purchase Warrant | 08/15/2019 | 08/15/2024 | Common Stock, par value $0.001 per share | 40,000 | 2.55 | I | See Note(1) |
Explanation of Responses: |
1. Represents securities held of record by the Michael G. Klein Living Trust dated 3/25/2002. |
2. The Secured Convertible Notes became convertible into common stock on the original date of issuance and are convertible into common stock at the option of the holder at any time and from time to time until August 20, 2019, subject to earlier repayment, redemption or conversion in accordance with their terms. |
3. The Secured Convertible Notes Mature on August 20, 2019, subject to earlier repayment, redemption or conversion in accordance with their terms. |
4. Consists of an aggregate principal amount of $100,000 of Secured Convertible Notes, which are initially convertible into 40,000 shares of common stock. |
/s/ Michael Klein | 03/18/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |