SEC Form 3 · accession 0001179110-16-027510
GAIA, INC · GAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brad Warkins
Officer — President and COO
Period of report
Jul 1, 2016
Accepted (ET)
Jul 6, 2016 · 9:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001089872
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | holding | — | — | — | 6,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $6.18 | holding | — | — | — | — | Oct 30, 2023 | Class A Common Stock | 25,000 | — | D |
| Employee Stock Option (right to buy)F2 | $7.71 | holding | — | — | — | — | Nov 4, 2024 | Class A Common Stock | 50,000 | — | D |
| Employee Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | — | Jun 2, 2025 | Class A Common Stock | 15,000 | — | D |
Explanation of responses
- F1Stock option provides for vesting and exercisability of 2% per month for 50 months commencing September 1, 2014.
- F2Stock option provides for vesting and exercisability of 2% per month for 50 months commencing December 1, 2014.
- F3The stock option was originally granted on January 15, 2009, extended on June 2, 2015, and originally provided for vesting and exercisability of 2% per month for 50 months commencing February 1, 2009. The stock option is fully vested.
Remarks
Exhibit List: Exhibit 24 Power of Attorney