SEC Form 4 · accession 0001209191-16-112591
GAIA, INC · GAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Howard Sutherland
Director
Period of report
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 7:10 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 StockF1,F2 | Mar 31, 2016 | A | 4,859 | — | A | 19,637 | D | |
| Class A Common StockF3 | holding | — | — | — | 21,042 | I | By trust | |
| Class A Common StockF4 | holding | — | — | — | 5,900 | I | By FIMgroup | |
| Class A Common StockF4 | holding | — | — | — | 4,000 | I | By FIMgroup 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Issued in consideration for director services.
- F2The reporting person jointly owns with his son 150 shares of Gaiam, Inc. Class A Common Stock reported herein.
- F3Revocable trust for which the reporting person serves as the trustee and the beneficiaries of which include members of the reporting person's immediate family.
- F4The reporting person disclaims beneficial ownership of these securities except to the extent his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose