SEC Form 4 · accession 0001209191-18-021608
GAIA, INC · GAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Howard Sutherland
Director
Period of report
Mar 22, 2018
Accepted (ET)
Mar 26, 2018 · 3:30 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 |
|---|---|---|---|---|---|---|---|---|
| GAIA Class A Common StockF2 | Mar 22, 2018 | J | 10,000 | $15.00 | A | 33,840 | D | |
| GAIA Class A Common StockF3 | holding | — | — | — | 21,042 | I | By Trust | |
| GAIA Class A Common StockF4 | holding | — | — | — | 5,900 | I | By FIM group | |
| GAIA Class A Common StockF4 | holding | — | — | — | 4,000 | I | By FIM group 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchased directly from the issuer in the issuer's secondary public offering
- F2The reporting person jointly owns 150 shares with his son and 175 shares with his daughter of Gaia, 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.