-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Nzj5+ogYDqp+oiN7oiKZY0NvqHq4fZHyrEtdS9p4lGDjDhfN1yba9OYZZ4V4yhJL 3y3ne+DgLl/ICLAbiemNyA== 0000906344-04-000014.txt : 20040206 0000906344-04-000014.hdr.sgml : 20040206 20040205174739 ACCESSION NUMBER: 0000906344-04-000014 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040206 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GAIAM INC CENTRAL INDEX KEY: 0001089872 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812] IRS NUMBER: 841113527 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58429 FILM NUMBER: 04571094 BUSINESS ADDRESS: STREET 1: 360 INTERLOCKEN BLVD #300 CITY: BROOMFIELD STATE: CO ZIP: 80021 BUSINESS PHONE: 3032223600 MAIL ADDRESS: STREET 1: 360 INTERLOCKEN BLVD #300 CITY: BROOMFIELD STATE: CO ZIP: 80021 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WENTWORTH HAUSER & VIOLICH CENTRAL INDEX KEY: 0000105692 IRS NUMBER: 911631301 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 353 SACRAMENTO STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4159816911 MAIL ADDRESS: STREET 1: 353 SACRAMENTO STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: TURRELL & DAHL DATE OF NAME CHANGE: 19820322 FORMER COMPANY: FORMER CONFORMED NAME: TURRELL DAHL & BELDEN DATE OF NAME CHANGE: 19690909 FORMER COMPANY: FORMER CONFORMED NAME: WENTWORTH DAHL & BELDEN DATE OF NAME CHANGE: 19661118 SC 13G/A 1 gaia13g.txt AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), and (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) GAIAM, INC. ----------- (Name of Issuer) Class A Common Stock, $.0001 par value -------------------------------------- (Title of Class of Securities) 36268Q103 --------- (CUSIP Number) December 31, 2003 ----------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP 36268Q103 SCHEDULE 13G Page 2 of 5 Pages 1 Name of Reporting Person WENTWORTH, HAUSER & VIOLICH, INC.* IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [ ] 3 SEC USE ONLY 4 Citizenship or Place of Organization Washington, United States NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 691,341 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 691,341 9 Aggregate Amount Beneficially Owned by Each Reporting Person 691,341 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 7.5% 12 Type of Reporting Person IA _______________________________ *This Schedule 13G Amendment No. 1 to the Schedule 13G filed with the SEC via EDGAR on February 13, 2003 by Wentworth, Hauser & Violich, Inc. and Laird Norton Financial Group, Inc. (the "Initial Schedule 13G") is filed only as to Wentworth, Hauser & Violich, Inc., and does not amend any of the information in the Initial Schedule 13G regarding Laird Norton Financial Group, Inc. CUSIP 36268Q103 SCHEDULE 13G Page 3 of 5 Pages Item 1(a). Name of Issuer. -------------- Gaiam, Inc. Item 1(b). Address of Issuer's Principal Executive Offices. ----------------------------------------------- 360 Interlocken Boulevard Broomfield, CO 80021 Item 2(a). Name of Person Filing. --------------------- Wentworth, Hauser & Violich, Inc. ("Wentworth") Item 2(b). Address of Principal Business Office or, if none, Residence. ----------------------------------------------------------- 353 Sacramento Street, Suite 600 San Francisco, CA 94111 Item 2(c). Citizenship. ----------- Washington, United States Item 2(d). Title of Class of Securities. ---------------------------- Class A Common Stock, $.0001 par value Item 2(e). CUSIP Number. ------------ 36268Q103 Item 3. Type of Reporting Person. ------------------------ If this statement is filed pursuant to Rule 13d-1(b) or Rule 13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Exchange Act. (b) [ ] Bank as defined in section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in section 3(a)(19) of the Exchange Act. CUSIP 36268Q103 SCHEDULE 13G Page 4 of 5 Pages (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940. (e) [x] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership. --------- Reference is hereby made to Items 5-9 and 11 of page two (2) of this Schedule 13G, which Items are incorporated by reference herein. Under the definition of "beneficial ownership" in Rule 13d-3 under the Securities Exchange Act of 1934, it is also possible that the individual directors, executive officers, and/or shareholders of Wentworth might be deemed the "beneficial owners" of some or all of the securities to which this Schedule relates in that they might be deemed to share the power to direct the voting or disposition of such securities. Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that any of such individuals is, for any purpose, the beneficial owner of any of the securities to which this Schedule relates, and such beneficial ownership is expressly disclaimed. Item 5. Ownership of Five Percent or Less of a Class. -------------------------------------------- Not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. -------------------------------------------------------- Wentworth is deemed to be the beneficial owner of the number of securities reflected in Items 5-9 and 11 of page two (2) of this CUSIP 36268Q103 SCHEDULE 13G Page 5 of 5 Pages Schedule 13G pursuant to separate arrangements whereby Wentworth acts as investment adviser to certain persons. Each person for whom the reporting person acts as investment adviser has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock purchased or held pursuant to such arrangements. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. ------------------------------------------------------------- Not applicable. Item 8. Identification and Classification of Members of the Group. --------------------------------------------------------- Not applicable. Item 9. Notice of Dissolution of Group. ------------------------------ Not applicable. Item 10. Certification. ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. WENTWORTH, HAUSER & VIOLICH, INC. By:/s/ Bradford Hall _____________________________ Bradford Hall, Chief Compliance Officer DATED: February 5, 2004 -----END PRIVACY-ENHANCED MESSAGE-----