TOON

SEC source: 0001683168-22-008315 · ownership.xml · derivative · entry 4

Heyward Andy · CIK 0001591978 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,125,000

Underlying: Common Stock, par value $0.001 per share · 937,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001683168-22-008315 · ownership.xml · nonDerivative · entry 1

Heyward Andy · CIK 0001591978 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,339,282

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

SEC source: 0001683168-22-008314 · ownership.xml · derivative · entry 2

DENTON ROBERT L. · CIK 0001738622 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,000

Underlying: Common Stock, par value $0.001 per share · 158,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F2 · derivative.exercise_date: On December 7, 2020, the Reporting Person was granted 475,000 restricted stock units, vesting as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

F2 · derivative.expiration_date: On December 7, 2020, the Reporting Person was granted 475,000 restricted stock units, vesting as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

SEC source: 0001683168-22-008314 · ownership.xml · nonDerivative · entry 1

DENTON ROBERT L. · CIK 0001738622 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

SEC source: 0001683168-22-008238 · ownership.xml · nonDerivative · entry 1

Turner-Graham Cynthia · CIK 0001869856 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001683168-22-006531 · ownership.xml · nonDerivative · entry 2

Hirsh Michael · CIK 0001938094 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 49,273

F1 · kind: The reporting person's spouse inadvertently sold 5,460 shares on August 12, 2022 and subsequently repurchased the 5,460 shares following her discovery of such sale. The reporting person has agreed to voluntarily pay to the Issuer all statutory "profits" pursuant to Section 16(b) of the Securities Exchange Act of 1934, as amended, that resulted from the transactions reported herein.

SEC source: 0001683168-22-006531 · ownership.xml · nonDerivative · entry 1

Hirsh Michael · CIK 0001938094 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 43,813

F1 · kind: The reporting person's spouse inadvertently sold 5,460 shares on August 12, 2022 and subsequently repurchased the 5,460 shares following her discovery of such sale. The reporting person has agreed to voluntarily pay to the Issuer all statutory "profits" pursuant to Section 16(b) of the Securities Exchange Act of 1934, as amended, that resulted from the transactions reported herein.

SEC source: 0001683168-22-005514 · ownership.xml · derivative · entry 2

Hirsh Michael · CIK 0001938094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock, par value $0.001 per share · 500,000 shares

Expires 2032-06-23

F2 · derivative.exercise_date: The options vest in three equal annual installments beginning on June 23, 2023.

SEC source: 0001683168-22-005514 · ownership.xml · nonDerivative · entry 1

Hirsh Michael · CIK 0001938094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761,684

F1 · shares: Represent restricted stock units which vest in three equal annual installments beginning on June 23, 2023.

SEC source: 0001683168-21-006575 · ownership.xml · nonDerivative · entry 1

Chizick Harold · CIK 0001878446 · Pres. Content Sales & Mkting

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wishing Thumbelina, Inc.

Disclosed balance after: 838,671

F1 · price: The price reflects the weighted average sale price of the shares of common stock sold. These shares of common stock were sold in multiple transactions at prices ranging from $1.1401 to $1.18, inclusive, per share of common stock. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares of common stock sold at each price.

SEC source: 0001683168-21-006500 · ownership.xml · derivative · entry 1

Dekic Zrinka · CIK 0001900577 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-12-09

F1 · derivative.exercise_date: The stock option shall vest in equal annual installments over three (3) years commencing from December 13, 2021.

SEC source: 0001683168-21-006652 · ownership.xml · derivative · entry 2

Jaffa Michael · CIK 0001738277 · COO, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,334

Underlying: Common Stock, par value $0.001 per share · 166,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F2 · derivative.exercise_date: On December 7, 2020, the Reporting Person was granted 500,000 restricted stock units, vesting as follows: 166,666 shares on December 7, 2021, 166,666 shares on December 7, 2022, and 166,668 shares on December 7, 2023, 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.

F2 · derivative.expiration_date: On December 7, 2020, the Reporting Person was granted 500,000 restricted stock units, vesting as follows: 166,666 shares on December 7, 2021, 166,666 shares on December 7, 2022, and 166,668 shares on December 7, 2023, 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.

SEC source: 0001683168-21-006652 · ownership.xml · nonDerivative · entry 1

Jaffa Michael · CIK 0001738277 · COO, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,666

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

SEC source: 0001683168-21-006650 · ownership.xml · derivative · entry 2

DENTON ROBERT L. · CIK 0001738622 · EVP Finance & Accounting

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: Common Stock, par value $0.001 per share · 155,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F2 · derivative.exercise_date: On December 7, 2020, the Reporting Person was granted 475,000 restricted stock units, vesting as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

F2 · derivative.expiration_date: On December 7, 2020, the Reporting Person was granted 475,000 restricted stock units, vesting as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

SEC source: 0001683168-21-006650 · ownership.xml · nonDerivative · entry 1

DENTON ROBERT L. · CIK 0001738622 · EVP Finance & Accounting

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

SEC source: 0001683168-22-000365 · ownership.xml · derivative · entry 4

Heyward Andy · CIK 0001591978 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,062,500

Underlying: Common Stock, par value $0.001 per share · 937,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001683168-22-000365 · ownership.xml · nonDerivative · entry 1

Heyward Andy · CIK 0001591978 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,401,782

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

SEC source: 0001683168-21-000338 · ownership.xml · nonDerivative · entry 1

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,600

SEC source: 0001683168-21-000874 · ownership.xml · derivative · entry 1

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Michael G. Klein's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Michael G. Klein's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Michael G. Klein's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Michael G. Klein's continued board service with the Issuer.

F2 · ownership.nature: Represents the securities held of record by the Michael G. Klein Living Trust, dated 3/25/2002.

SEC source: 0001683168-21-000876 · ownership.xml · derivative · entry 1

McTier Karen · CIK 0001825132 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Karen McTier's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Karen McTier's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Karen McTier's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Karen McTier's continued board service with the Issuer.

SEC source: 0001683168-21-000873 · ownership.xml · derivative · entry 1

Hallren Patrick Clark · CIK 0001609561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Clark Hallren's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Clark Hallren's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Clark Hallren's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Clark Hallren's continued board service with the Issuer.

SEC source: 0001683168-21-000878 · ownership.xml · derivative · entry 1

THOMOPOULOS ANTHONY D · CIK 0001217908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Anthony Thomopoulos's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Anthony Thomopoulos's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Anthony Thomopoulos's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Anthony Thomopoulos's continued board service with the Issuer.

SEC source: 0001683168-21-000877 · ownership.xml · derivative · entry 1

SEGALL LYNNE A · CIK 0001592392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Lynne Segall's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Lynne Segall's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Lynne Segall's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Lynne Segall's continued board service with the Issuer.

SEC source: 0001683168-21-000875 · ownership.xml · derivative · entry 1

LOESCH MARGARET · CIK 0001253219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Margaret Loesch's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Margaret Loesch's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Margaret Loesch's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Margaret Loesch's continued board service with the Issuer.

SEC source: 0001683168-21-000872 · ownership.xml · derivative · entry 1

Davis Gray · CIK 0001320604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-01-27

F1 · shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Gov. Joseph "Gray" Davis's continued board service with the Issuer.

F1 · derivative.exercise_date: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Gov. Joseph "Gray" Davis's continued board service with the Issuer.

F1 · derivative.underlying_shares: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Gov. Joseph "Gray" Davis's continued board service with the Issuer.

F1 · balance_after: The option was granted on January 27, 2021. The shares underlying the option will fully vest and be exercisable on January 27, 2022, subject to Gov. Joseph "Gray" Davis's continued board service with the Issuer.

SEC source: 0001683168-20-004237 · ownership.xml · derivative · entry 2

DENTON ROBERT L. · CIK 0001738622 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475,000

Underlying: Common Stock, par value $0.001 per share · 475,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F3 · derivative.exercise_date: The restricted stock units vest as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

F3 · derivative.expiration_date: The restricted stock units vest as follows: 155,000 shares on December 7, 2021, 158,000 shares on December 7, 2022, and 162,000 shares on December 7, 2023, 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.

SEC source: 0001683168-20-004237 · ownership.xml · derivative · entry 1

DENTON ROBERT L. · CIK 0001738622 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950,000

Underlying: Common Stock, par value $0.001 per share · 950,000 shares

Expires 2030-12-06

F1 · derivative.exercise_date: The option was fully vested on the date of grant with respect to 380,000 shares, and 190,000 shares vest on each of the first, second and third anniversaries of December 7, 2020, subject to the Reporting Person's continued employmentof December 7, 2020, subject to the Reporting Person's continued employment.

SEC source: 0001683168-20-004238 · ownership.xml · derivative · entry 2

Jaffa Michael · CIK 0001738277 · Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock, par value $0.001 per share · 500,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F3 · derivative.exercise_date: The restricted stock units vest as follows: 166,666 shares on December 7, 2021, 166,666 shares on December 7, 2022, and 166,668 shares on December 7, 2023, 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.

F3 · derivative.expiration_date: The restricted stock units vest as follows: 166,666 shares on December 7, 2021, 166,666 shares on December 7, 2022, and 166,668 shares on December 7, 2023, 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.

SEC source: 0001683168-20-004238 · ownership.xml · derivative · entry 1

Jaffa Michael · CIK 0001738277 · Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock, par value $0.001 per share · 1,000,000 shares

Expires 2030-12-06

F1 · derivative.exercise_date: The option was fully vested on the date of grant with respect to 400,000 shares, and 200,000 shares vest on each of the first, second and third anniversaries of December 7, 2020, subject to the Reporting Person's continued employment.

SEC source: 0001683168-20-004236 · ownership.xml · derivative · entry 6

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500,000

Underlying: Common Stock, par value $0.001 per share · 7,500,000 shares

Expires not disclosed

F6 · derivative.exercise_price: 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.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

SEC source: 0001683168-20-004236 · ownership.xml · derivative · entry 5

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500,000

Underlying: Common Stock, par value $0.001 per share · 7,500,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNUS common stock.

F5 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: 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.

SEC source: 0001683168-20-004236 · ownership.xml · derivative · entry 4

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000,000

Underlying: Common Stock, par value $0.001 per share · 5,000,000 shares

Expires 2030-12-06

F3 · derivative.exercise_date: The option was fully vested on the date of grant.

SEC source: 0001683168-20-004022 · ownership.xml · derivative · entry 4

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 476,190 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The Preferred Stock was convertible, at the option of the Reporting Person, into shares of Common Stock.

F4 · derivative.expiration_date: The Preferred Stock does not contain an expiration date.

SEC source: 0001683168-20-004022 · ownership.xml · nonDerivative · entry 1

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,464,282

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001683168-20-002267 · ownership.xml · nonDerivative · entry 4

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $2.73 to $2.97, inclusive. Upon request of the SEC staff, Genius Brands International, Inc. (the "Issuer") or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001683168-20-002267 · ownership.xml · nonDerivative · entry 3

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001683168-20-002072 · ownership.xml · derivative · entry 10

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,952,381 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The Senior Secured Convertible Note was convertible, at the option of the Reporting Person, into shares of Common Stock at any time and from time to time.

F7 · derivative.expiration_date: Unless earlier converted or redeemed, the Senior Secured Convertible Note was set to mature on September 30, 2021.

F8 · derivative.underlying_shares: Upon receipt of approval of the stockholders of the Issuer, the conversion price of the Senior Secured Convertible Note was reduced to $0.21. Accordingly, the Reporting Person received 5,952,381 shares of Common Stock upon conversion of the Senior Secured Convertible Note.

SEC source: 0001683168-20-002072 · ownership.xml · nonDerivative · entry 5

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,988,092

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001683168-20-002072 · ownership.xml · derivative · entry 9

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires 2020-11-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Represents post-reverse stock split share amounts.

SEC source: 0001683168-20-002072 · ownership.xml · derivative · entry 8

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,952,381 shares

Expires 2025-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001683168-20-002072 · ownership.xml · nonDerivative · entry 4

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,035,711

F2 · kind: On June 19, 2020, the Reporting Person exercised a warrant to purchase 166,667 shares of Common Stock of the Issuer for $1.10 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 12,545 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 154,122 shares.

SEC source: 0001683168-20-002072 · ownership.xml · nonDerivative · entry 3

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,048,256

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001683168-20-002072 · ownership.xml · nonDerivative · entry 2

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,881,589

F1 · kind: On June 19, 2020, the Reporting Person exercised a warrant to purchase 5,952,381 shares of common stock, par value $0.001 per share (the "Common Stock") of Genius Brands International, Inc. (the "Issuer") for $0.21 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 448,029 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 5,504,352 shares.

SEC source: 0001683168-20-002072 · ownership.xml · nonDerivative · entry 1

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,329,618

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001683168-20-002180 · ownership.xml · nonDerivative · entry 2

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,035,711

F1 · kind: This Form 4/A is being filed solely to amend the Form 4 filed by the Reporting Person on June 25, 2020, to correct the transaction code which was inadvertently reported as transaction code "S" instead of transaction code "F" since the withholding of shares to pay the applicable exercise price of the warrants was exempt from Section 16(b) by virtue of Rule 16b-3(e).

F3 · kind: On June 19, 2020, the Reporting Person exercised a warrant to purchase 166,667 shares of Common Stock of the Issuer for $1.10 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 12,545 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 154,122 shares.

SEC source: 0001683168-20-002180 · ownership.xml · nonDerivative · entry 1

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,881,589

F1 · kind: This Form 4/A is being filed solely to amend the Form 4 filed by the Reporting Person on June 25, 2020, to correct the transaction code which was inadvertently reported as transaction code "S" instead of transaction code "F" since the withholding of shares to pay the applicable exercise price of the warrants was exempt from Section 16(b) by virtue of Rule 16b-3(e).

F2 · kind: On June 19, 2020, the Reporting Person exercised a warrant to purchase 5,952,381 shares of common stock, par value $0.001 per share (the "Common Stock") of Genius Brands International, Inc. (the "Issuer") for $0.21 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 448,029 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 5,504,352 shares.

SEC source: 0001683168-20-002267 · ownership.xml · nonDerivative · entry 2

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001683168-20-002267 · ownership.xml · nonDerivative · entry 1

KLEIN MICHAEL G · CIK 0001104036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001683168-20-000853 · ownership.xml · derivative · entry 2

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,952,381

Underlying: Common Stock · 5,952,381 shares

Expires 2025-03-13

F5 · derivative.exercise_price: Subject to receipt of approval of the stockholders of the Issuer, the exercise price of the warrant will be reduced to $0.21.

F6 · price: The warrant was issued as partial consideration (along with the Note) for the Reporting Person's investment in the Issuer.

SEC source: 0001683168-20-000853 · ownership.xml · derivative · entry 1

Heyward Andy · CIK 0001591978 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 909,090 shares

Expires not disclosed

F1 · security: Pursuant to a securities purchase agreement, dated March 11, 2020 (the "Securities Purchase Agreement"), the Reporting Person purchased $1,250,000 aggregate principal amount of Senior Secured Convertible Note (the "Note") from Genius Brands International, Inc. (the "Issuer") in an exempt transaction at a 20% original issue discount. The Note will be initially convertible into shares of common stock, par value $0.001 per share ("Common Stock"), of the Issuer at a conversion price of $1.375 per share.

F2 · derivative.exercise_price: Subject to receipt of approval of the stockholders of the Issuer, the conversion price of the Note will be reduced to $0.21.

F3 · derivative.exercise_date: The Senior Secured Convertible Note is convertible, at the option of the Reporting Person, into shares of Common Stock at any time and from time to time.

F4 · derivative.expiration_date: Unless earlier converted or redeemed, the Senior Secured Convertible Note matures on September 30, 2021.