SEC Form 4 · accession 0001209191-17-030399
GAIA, INC · GAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Howard Sutherland
Director
Period of report
May 5, 2017
Accepted (ET)
May 5, 2017 · 5:29 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 | May 5, 2017 | A | 175 | $11.079 | A | 23,840 | D | |
| Class A Common StockF2 | holding | — | — | — | 21,042 | I | By trust | |
| Class A Common StockF3 | holding | — | — | — | 5,900 | I | By FIMgroup | |
| Class A Common StockF3 | holding | — | — | — | 4,000 | I | By FIMgroup 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person jointly owns 150 shares with his son and 175 shares with his daughter of Gaia, Inc. Class A Common Stock reported herein.
- F2Revocable trust for which the reporting person serves as the trustee and the beneficiaries of which include members of the reporting person's immediate family.
- F3The 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