-----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, JG87lTcrOlLX5wpoF69dyBXaCYblIfRzRBoUR5rMQFcKrL4PKu8YaTeXF9cqtwPy hp6Llf2u45LZRupxPWaUug== 0000902664-08-001608.txt : 20080319 0000902664-08-001608.hdr.sgml : 20080319 20080319151512 ACCESSION NUMBER: 0000902664-08-001608 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080312 FILED AS OF DATE: 20080319 DATE AS OF CHANGE: 20080319 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 360 INTERLOCKEN BLVD CITY: BROOMFIELD STATE: CO ZIP: 80021 BUSINESS PHONE: 3032223600 MAIL ADDRESS: STREET 1: 360 INTERLOCKEN BLVD CITY: BROOMFIELD STATE: CO ZIP: 80021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zimmerman Michael CENTRAL INDEX KEY: 0001326156 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-27517 FILM NUMBER: 08699170 BUSINESS ADDRESS: BUSINESS PHONE: (212) 756-8040 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Prentice Capital Management, LP CENTRAL INDEX KEY: 0001326150 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-27517 FILM NUMBER: 08699171 BUSINESS ADDRESS: STREET 1: 900 THIRD AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 756-8040 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4/A 1 p08-0777form4a_ex.xml GAIAM, INC. X0202 4/A 2008-03-12 2008-03-13 0 0001089872 GAIAM INC GAIA 0001326150 Prentice Capital Management, LP 623 FIFTH AVENUE, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001326156 Zimmerman Michael 623 FIFTH AVENUE, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 Class A Common Stock ("Common Stock") 2008-03-12 4 P 0 46400 18.53 A 4397338 I See Class A Common Stock ("Common Stock") 2008-03-12 4 P 0 9000 18.70 A 4406338 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 800 17.98 A 4407138 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 4200 18.00 A 4411338 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 317 18.06 A 4411655 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 158 18.10 A 4411813 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 18 18.19 A 4411831 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 1300 18.25 A 4413131 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.27 A 4413331 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 100 18.29 A 4413431 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.30 A 4413631 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 400 18.31 A 4414031 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 400 18.33 A 4414431 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 400 18.34 A 4414831 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 400 18.35 A 4415231 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 500 18.36 A 4415731 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 400 18.38 A 4416131 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 100 18.39 A 4416231 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.40 A 4416431 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.41 A 4416631 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 300 18.43 A 4416931 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 100 18.44 A 4417031 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.45 A 4417231 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 300 18.46 A 4417531 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 300 18.47 A 4417831 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 300 18.48 A 4418131 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 2153 18.49 A 4420284 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 7154 18.50 A 4427438 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 200 18.51 A 4427638 I See Class A Common Stock ("Common Stock") 2008-03-13 4 P 0 300 18.53 A 4427938 I See Prentice Capital Management, LP (the "Investment Manager") serves as investment manager to a number of investment funds (including Prentice Capital Partners, LP, Prentice Capital Partners QP, LP, Prentice Capital Offshore, Ltd., Prentice Special Opportunities, LP, Prentice Special Opportunities Offshore, Ltd. and Prentice Special Opportunities Master, L.P.) and manages investments for certain entities in managed accounts with respect to which it has voting and dispositive authority over the Common Stock reported in this Form 4. Michael Zimmerman ("Mr. Zimmerman") is responsible for the supervision and conduct of all investment activities of the Investment Manager, including, without limitation, for all investment decisions with respect to the assets of such investment funds and managed accounts. The Investment Manager does not directly own any shares of Common Stock. Mr. Zimmerman personally owns 8,705 shares of Common Stock. After the purchases reported hereby, the Investment Manager may be deemed to beneficially own 4,429,633 shares of Common Stock held by the investment funds and managed accounts. Mr. Zimmerman may be deemed to beneficially own 4,441,338 shares of Common Stock held personally, by The Michael & Holly Zimmerman Family Foundation Inc. and by the investment funds and managed accounts. Each of the Reporting Persons disclaims any beneficial ownership of the shares of Common Stock included in this report to the extent such beneficial ownership exceeds such Reporting Person's pecuniary interest. The amount of securities beneficially owned following the reported transactions includes 3,000 shares of Common Stock held by The Michael & Holly Zimmerman Family Foundation Inc. and 8,705 shares of Common Stock personally owned by Mr. Zimmerman. This Form 4 amendment is being filed to correct the number of shares of Common Stock reported as being purchased on 3/12/08 at the price of $18.53 per share as 46,600 rather than the previously listed 48,000 shares. No other changes have been made in Column 4. Due to the correction in Column 4, the number of shares of Common Stock listed in Column 5 as beneficially owned also is being corrected with respect to the purchase on 3/12/08 at the price of $18.53 per share and for each transaction listed thereafter in part one and part two of this Form 4 amendment. Footnote 2 also is being amended to reflect the correction in the number of shares actually purchased on 3/12/08 at the price of $18.53 per share. This is part one of a two-part filing. PRENTICE CAPITAL MANAGEMENT, LP, By: /s/ Michael Weiss as Chief Financial Officer 2008-03-18 EX-99 2 p08-0777jointfiler_info.txt JOINT FILER INFORMATION Joint Filer Information Name: Michael Zimmerman Address: 623 Fifth Avenue, 32nd Floor New York, New York 10022 Designated Filer: Prentice Capital Management, LP Issuer: Gaiam, Inc. Date of Event Requiring Statement: March 12, 2008 Signature: /s/ Michael Zimmerman - --------------------------- Michael Zimmerman -----END PRIVACY-ENHANCED MESSAGE-----