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OMB APPROVAL
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OMB Number 3235-0104
Expires: 12-31-2001
Estimated average burden
hours per response ....... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
BALABAN, HOWARD ALAN
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(Last) (First) (Middle)
7955 PROSPECT PLACE
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(Street)
LA JOLLA, CALIFORNIA 92037
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
GENIUS PRODUCTS, INC. GNUS
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
###-##-####
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4. Statement for Month/Year
05/25/2000
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Senior Vice President Sales
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6. If Amendment, Date of Original (Month/Day/Year)
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form Filed by 1 Reporting Person
[_] Form Filed by More than 1 Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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<S> <C> <C> <C>
Common Stock 7,500 D
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Over)
SEC 1473 (3-99)
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FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
Options(1) 01/01/00 01/06/09 Common 100,000 $1.25 D
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Options(2) 01/01/01 01/06/09 Common 100,000 $1.25 D
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Options(3) 01/01/02 01/06/09 Common 100,000 $1.25 D
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Options(4)(5) 05/25/00 05/25/10 Common 350,000 $0.54 D
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Options(6) 02/01/99 12/01/08 Common 50,000 $1.25 D
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</TABLE>
Explanation of Responses:
(1) NSO Vesting Schedule: Fully vested on 01/01/00.
(2) NSO Vesting Schedule: Fully vests on 01/01/01.
(3) NSO Vesting Schedule: Fully vests on 01/01/02.
(4) NSO Vesting Schedule: Fully vested on 05/25/00.
(5) 400,000 NSO options were granted on April 26, 2000 and cancelled on May
12, 2000 because the exercise price of $0.75 was above the market value
of the shares on the date of cancellation.
(6) NSO Vesting Schedule: Fully vested on 02/01/99.
/s/ Howard Balaban October 16, 2000
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**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
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