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GAIA, INC — Director's Dealing 2019
Oct 29, 2019
33870_dirs_2019-10-28_fbc75be6-e46f-4720-b5c2-26a56aa52af8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GAIA, INC (GAIA)
CIK: 0001089872
Period of Report: 2019-10-24
Reporting Person: Frank Kristin E. (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-10-24 | Restricted Stock Units | $ | A | 4940 | Acquired | Class A Common Stock (4940) | Direct | |
| 2019-10-24 | Director Stock Option (right to buy) | $11.40 | D | 27707 | Disposed | 2027-05-04 | Class A Common Stock (27707) | Direct |
| 2019-10-24 | Director Stock Option (right to buy) | $12.40 | D | 5333 | Disposed | 2027-11-03 | Class A Common Stock (5333) | Direct |
Footnotes
F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F2: 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.
F3: 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.