0001209191-19-054293.txt : 20191028 0001209191-19-054293.hdr.sgml : 20191028 20191028202206 ACCESSION NUMBER: 0001209191-19-054293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191024 FILED AS OF DATE: 20191028 DATE AS OF CHANGE: 20191028 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAISEL DAVID CENTRAL INDEX KEY: 0001277061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27517 FILM NUMBER: 191174241 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GAIA, 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: 833 WEST BOULDER ROAD CITY: LOUISVILLE STATE: CO ZIP: 80027-2452 BUSINESS PHONE: 3032223600 MAIL ADDRESS: STREET 1: 833 WEST BOULDER ROAD CITY: LOUISVILLE STATE: CO ZIP: 80027-2452 FORMER COMPANY: FORMER CONFORMED NAME: GAIAM, INC DATE OF NAME CHANGE: 20080519 FORMER COMPANY: FORMER CONFORMED NAME: GAIAM INC DATE OF NAME CHANGE: 19990701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-10-24 0 0001089872 GAIA, INC GAIA 0001277061 MAISEL DAVID 833 W SOUTH BOULDER RD LOUISVILLE CO 80027 1 0 0 0 Restricted Stock Units 2019-10-24 4 A 0 3900 0.00 A Class A Common Stock 3900 3900 D Director Stock Option (right to buy) 7.81 2019-10-24 4 D 0 60000 0.00 D 2026-09-08 Class A Common Stock 60000 90000 D Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock. The unvested portion of the option was canceled by mutual agreement of the reporting person and the issuer in connection with the issuer's grant of restricted stock units to the reporting person. The remaining options outstanding are vested and available for exercise. The RSUs vest on the date of the Annual Shareholder Meeting in April 2020, subject to continued services as a Director. Vested Class A Common Stock will be delivered to the reporting person within sixty days following the date on which the RSUs vest. /S/ Paul Tarell Attorney-In-Fact for David Maisel 2019-10-28