GAIA, INC — Director's Dealing 2016

Jul 7, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: GAIAM, INC (GAIA)
CIK: 0001089872
Period of Report: 2016-07-01

Reporting Person: Warkins Brad (President and COO)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	6000	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Option (right to buy)	$6.18	2023-10-30	Class A Common Stock (25000)		Direct
Employee Stock Option (right to buy)	$7.71	2024-11-04	Class A Common Stock (50000)		Direct
Employee Stock Option (right to buy)	$5	2025-06-02	Class A Common Stock (15000)		Direct

Footnotes

F1: Stock option provides for vesting and exercisability of 2% per month for 50 months commencing September 1, 2014.

F2: Stock option provides for vesting and exercisability of 2% per month for 50 months commencing December 1, 2014.

F3: The stock option was originally granted on January 15, 2009, extended on June 2, 2015, and originally provided for vesting and exercisability of 2% per month for 50 months commencing February 1, 2009. The stock option is fully vested.