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GAIA, INC — Director's Dealing 2022
May 2, 2022
33870_dirs_2022-05-02_88e9c964-3e13-4857-a4ae-4ef9058b9921.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: 2022-04-28
Reporting Person: Colquhoun James (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-04-28 | Class A Common Stock | M | 3575 | — | Acquired | 875294 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-04-28 | Restricted Stock Units | $ | M | 3575 | Disposed | Class A Common Stock (3575) | Direct | |
| 2022-04-28 | Restricted Stock Unit | $ | A | 8488 | Acquired | Class A Common Stock (8488) | Direct |
Footnotes
F1: Restricted stock units were converted into common stock on a one-for-one basis
F2: Includes 3,575 shares owned directly by Mr. Colquhoun, 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.
F3: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F4: The RSUs vest on the date of the Annual Shareholder Meeting in April 2022, 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.
F5: The RSUs vest on the date of the Annual Shareholder Meeting in April 2023, 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.