SEC Form 4 · accession 0001209191-16-131921
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 · 8:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001089872
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Jul 1, 2016 | A | 67,204 | A | — | — | Class A Common Stock | 67,204 | 67,204 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock.
- F2The RSUs vest on March 16, 2020, subject to continued employment. Vested Class A Common Stock will be delivered to the reporting person within sixty days following the date on which the RSUs vest.
- F3Issued in consideration for the exchange of RSUs previously issued by a subsidiary of the Issuer.