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