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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options | $ 0.2 | 05/15/2013 | A | 750,000 | 05/15/2013 | 05/15/2018 | Common Stock | 750,000 | (1) | 1,650,000 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Morgan Jeanene Grace C/O GENIUS BRANDS INTERNATIONAL, INC. 3111 CAMINO DEL RIO NORTH, SUITE 400 SAN DIEGO, CA 92108 |
Chief Financial Officer |
/s/ Jeanene Morgan | 06/21/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Issued directly from the Issuer pursuant to the Issuer's Stock Option Plan on May 15, 2013. |
(2) | Represents, in addition to those options that are the subject of this report: (i) 50,000 options exercisable as of 12/31/2009 and expiring on 12/31/2014, at an exercise price of $0.55, (ii) 450,000 options at an exercise price of $0.336, granted on 12/31/2010, with 150,000 of such options vesting on the grant date and 100,000 of such shares vesting upon each of the first three anniversaries of the grant date,(iii) 100,000 options exercisable on 12/31/2011 and expiring on 12/31/2016 at an exercise price of $0.22, (iv) 200,000 options vesting on 12/31/2014 and expiring on 5/2/2017, at an exercise price of 0.44, and (v) 100,000 options vesting on 12/31/2012 and expiring on 12/31/2017, at an exercise price of $0.20. |