SEC Form 4 · accession 0001209191-16-148483
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
Nov 1, 2016
Accepted (ET)
Nov 4, 2016 · 5:38 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 UnitsF1,F2 | — | Nov 1, 2016 | A | 64,864 | A | — | — | Class A Common Stock | 64,864 | 64,864 | 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 31, 2022, 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.