Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___________)*
GENIUS BRANDS INTERNATIONAL
________________________________________
(Name of Issuer)
Common Stock, Warrants
________________________________________
(Title of Class of Securities)
37229T301
________________________________________
(CUSIP Number)
December 31, 2019
________________________________________
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the
Act but shall be subject to all other provisions of the Act (however,
see the Notes).
CUSIP No. 37229T301 ________________________________________
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Bard Associates, Inc. 36-3452497
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) / /
(b) / /
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3. SEC Use Only
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4. Citizenship or Place of Organization
Illinois
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Number of 5. Sole Voting Power
Shares
Beneficially 100,002
Owned by ---------------------------------------------
Each Reporting 6. Shared Voting Power
Person with
0
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7. Sole Dispositive Power
877,231
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8. Shared Dispositive Power
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
877,231
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) / /
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11. Percent of Class Represented by Amount in Row (9)
3.1%
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12. Type of Reporting Person (See Instructions)
IA
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ITEM 1.
(a) Name of Issuer
GENIUS BRANDS INTERNATIONAL
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(b) Address of Issuer's Principal Executive Offices
301 NORTH CANON DRIVE
SUITE 305
BEVERLY HILLS, CA 90210
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ITEM 2.
(a) Name of Person Filing
Bard Associates, Inc.
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(b) Address of Principal Business Office or, if none, Residence
135 South LaSalle Street, Suite 3700
Chicago, IL 60603
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(c) Citizenship
United States
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(d) Title of Class of Securities
Common Stock, Warrants
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(e) CUSIP Number
37229T301
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS
240.13d-1(b) or 240.13d-2(b) or (c), CHECK WHETHER THE
PERSON FILING IS A:
(a) / / Broker or dealer registered under section 15 of
The Act (15 U.S.C. 78o).
(b) / / Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) / / Insurance company as defined in section 3(a)(19)
Of the Act (15. U.S.C. 78c).
(d) / / Investment company registered under section 8 of
The Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) / x / An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) / / An employee benefit plan or endowment fund in
accordance with Section 240.13d-1(b)(1)(ii)(F);
(g) / / A parent holding company or control person in
accordance with Section 240.13d-1(b)(1)(1)(ii)(G);
(h) / / A savings association as defined in Section 3(b)
of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) / / A church plan that is excluded from the definition
of an Investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15. U.S.C. 80a-3);
(j) / / Group, in accordance with Section
240.13d-1(b)(1)(ii)(J).
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ITEM 4. OWNERSHIP
The amount beneficially owned set forth in Item 4(a) is comprised of
585,511 shares and 291,720 warrants held by Bard.
The information reported below in the Item 4 is as of December 31,2019.
The percentage set forth in Item 4(b) is calculated based on the
14,426,823 shares of the Issuer's Common Stock outstanding as reported
in the Issuer's Form 10Q filed November 14,2019 for the period ended
September 30, 2019, plus 291,720 warrants held by Bard.
(a) Amount beneficially owned:
877,231
(b) Percent of Class
3.1%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
100,002
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(ii) Shared power to vote or to direct the vote
0
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(iii) Sole power to dispose or to direct the disposition of
877,231
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(iv) Shared power to dispose or to direct the disposition of
0
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ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof
The reporting person has ceased to be the beneficial owner of more than five
Percent of the class of securities, check the following / x /.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF
ANOTHER PERSON
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY
WHICH ACQUIRED THE SECURITY BEING REPORTED ON
BY THE PARENT HOLDING COMPANY OR CONTROL PERSON
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE
GROUP
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
ITEM 10.CERTIFICATION
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and
are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as
a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true,
complete and correct.
02/12/2020
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Date
/s/ Timothy B. Johnson
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Signature
Timothy B. Johnson/ President
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Name/Title