AI assistant
GAIA, INC — Director's Dealing 2014
Feb 14, 2014
33870_dirs_2014-02-14_325c4c43-46b8-42f3-bc85-de16190bfce2.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: GAIAM, INC (GAIA)
CIK: 0001089872
Period of Report: 2013-12-31
Reporting Person: Sutherland Paul Howard (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-10-09 | Class A Common Stock | G | 573 | — | Disposed | 1150 | Direct |
| 2012-10-09 | Class A Common Stock | G | 573 | — | Acquired | 573 | Indirect |
| 2013-01-18 | Class A Common Stock | G | 8544 | — | Disposed | 1150 | Direct |
| 2013-01-18 | Class A Common Stock | G | 8544 | — | Acquired | 9117 | Indirect |
| 2013-04-15 | Class A Common Stock | G | 3810 | — | Disposed | 1150 | Direct |
| 2013-04-15 | Class A Common Stock | G | 3810 | — | Acquired | 12927 | Indirect |
| 2013-07-26 | Class A Common Stock | G | 2242 | — | Disposed | 1150 | Direct |
| 2013-07-26 | Class A Common Stock | G | 2242 | — | Acquired | 15169 | Indirect |
| 2013-10-15 | Class A Common Stock | G | 798 | — | Disposed | 6135 | Direct |
| 2013-10-15 | Class A Common Stock | G | 798 | — | Acquired | 15967 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 5900 | Indirect |
| Class A Common Stock | 4000 | Indirect |
Footnotes
F1: Gifted to a revocable trust for which the reporting person serves as the trustee and the beneficiaries of which include members of the reporting person's immediate family.
F2: Includes 4,985 shares of Class A Common Stock issued to the reporting person on 12/31/2013 as previously reported on a Form 4.
F3: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.