SEC Form 4 · accession 0001209191-17-031094
GAIA, INC · GAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul C. Tarell Jr.
Officer — CHIEF FINANCIAL OFFICER
Period of report
May 8, 2017
Accepted (ET)
May 9, 2017 · 7:34 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 | May 8, 2017 | M | 6,000 | $5.03 | A | 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 | $5.03 | May 8, 2017 | M | 6,000 | D | — | Sep 16, 2023 | Class A Common Stock | 6,000 | 24,000 | D |
Explanation of responses
- F1Stock option provides for vesting and exercisability of 2% per month for 50 months commencing August 1, 2014