0001209191-20-037598.txt : 20200618 0001209191-20-037598.hdr.sgml : 20200618 20200618163325 ACCESSION NUMBER: 0001209191-20-037598 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200618 FILED AS OF DATE: 20200618 DATE AS OF CHANGE: 20200618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Colquhoun James CENTRAL INDEX KEY: 0001809109 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27517 FILM NUMBER: 20972997 MAIL ADDRESS: STREET 1: 833 WEST SOUTH BOULDER ROAD STREET 2: BUILDING G CITY: LOUISVILLE STATE: CO ZIP: 80027 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 2020-06-18 0 0001089872 GAIA, INC GAIA 0001809109 Colquhoun James 833 W SOUTH BOULDER ROAD, BLDG G LOUISVILLE CO 80027 1 0 0 0 Class A Common Stock 2020-06-18 4 C 0 206542 A 871719 I By Colquhoun ten Bosch Family Trust Class A Common Stock 2020-06-18 4 C 0 40728 A 871719 I By Food Matters Holdings Unit Trust Class A Common Stock 2020-06-18 4 J 0 139617 A 871719 I By Colquhoun ten Bosch Family Trust Convertible Secured Promissory Note 7.16 2020-06-18 4 C 0 208589 1450000.00 D 2021-01-02 Class A Common Stock 208589 0 I By Colquhoun ten Bosch Family Trust Convertible Secured Promissory Note 7.51 2020-06-18 4 C 0 41145 300000.00 D 2021-01-02 Class A Common Stock 41145 0 I By Food Matters Holdings Unit Trust Issued for conversion of convertible secured promissory note with outstanding principal of $1,450,000 plus $28,841.10 of accrued but unpaid interest through the conversion date. Includes 751,050 shares owned by the Colquhoun ten Bosch Family Trust for which the reporting person is trustee and 120,669 shares owned by Food Matters Holdings Unit Trust for which the reporting person is trustee. Issued for conversion of convertible secured promissory note with outstanding principal of $300,000 plus $5,868.49 of accrued but unpaid interest through the conversion date. Issued as additional consideration for acquisition consummated in June 2019 as disclosed in the Form 10-Q filed with the SEC on August 6, 2019. Principal and accrued interest on the note are convertible into shares and interest accrues at the rate of 2%, compounded monthly. Number of shares listed is based on the outstanding principal and interest that would accrue if the note remains outstanding until its maturity on January 2, 2021. 30 days after notice to issuer. Represents principal value of the note. Paul Tarell Attorney in Fact for James Colquhoun 2020-06-18