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GAIA, INC — Director's Dealing 2022
Apr 4, 2022
33870_dirs_2022-04-04_4be3fda8-cdca-443a-a7bd-9af9830ded32.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: 2022-03-31
Reporting Person: Tarell Paul C. Jr. (CHIEF FINANCIAL OFFICER)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-03-31 | Class A Common Stock | M | 50000 | $4.92 | Acquired | 152802 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-01 | Restricted Stock Unit | $ | M | 50000 | Disposed | Class A Common Stock (50000) | Direct |
Footnotes
F1: Includes 600 and 692 shares acquired pursuant to the Gaia employee stock purchase plan on June 30, 2021 and December 31, 2021, respectively.
F2: Includes 50,000 shares that Mr. Tarell voluntarily deferred into the 2020 Gaia Deferred Compensation Plan ("Plan"). These shares are subject to release upon the earliest date of the following events: a separation of service, termination of the Plan or on March 1, 2027.
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 March 31, 2022, subject to continued employment. Vested Class A Common Stock will be delivered to the reporting person within sixty days following the date on which the RSUs vest.