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) 06/23/2022 | 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 | 212,411 | D | |
Common Stock, par value $0.001 per share | 49,273 | I | By Spouse |
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 | ||||
Exchangeable shares | (1) | (1) | Common Stock, par value $0.001 per share | 389,915 | (1) | I | By #2033162 Ontario Inc. |
Exchangeable shares | (1) | (1) | Common Stock, par value $0.001 per share | 188,209 | (1) | I | By Spouse, through 2029769 Ontario Inc. |
Exchangeable shares | (1) | (1) | Common Stock, par value $0.001 per share | 98,545 | (1) | D |
Explanation of Responses: |
1. Represents shares of common stock, par value $0.001 per share (the "Common Stock"), that Genius Brands International, Inc. (the "Company") may issue, from time to time, upon exchange, retraction or redemption of exchangeable shares of Wow Exchange Co. Inc., a wholly-owned Canadian subsidiary of the Company (the "Exchangeable Shares"). Each Exchangeable Share may be exchanged for one share of Common Stock at any time and at the election of the holder. The Exchangeable Shares have no expiration date. |
Remarks: |
Exhibit List - Exhibit 24 - Power of Attorney |
/s/ Abbey MacDonald, Power of Attorney for: Michael Hirsh | 08/03/2022 | |
** 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. |