Filing Details
- Accession Number:
- 0000947871-19-000365
- Form Type:
- 13G Filing
- Publication Date:
- 2019-05-13 17:07:22
- Filed By:
- Mic Capital Partners (public) Parallel Cayman, Lp
- Company:
- Gaia Inc (NASDAQ:GAIA)
- Filing Date:
- 2019-05-13
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| MIC Capital Partners (Public) (US) IM | 1,266,461 | 1,266,461 | 1,266,461 | 10.1% | ||
| MIC Capital Partners (Public) Parallel Cayman | 1,266,461 | 1,266,461 | 1,266,461 | 10.1% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Amendment No. __)*
Under the Securities Exchange Act of 1934
Gaia, Inc.
(Name of Issuer)
Class A Common Stock, par
value $0.0001 per share
(Title of Class of Securities)
36269P104
(CUSIP Number)
May 1, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the
subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of
the Securities Exchange Act of 1934 (the “Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 36269P104 | SCHEDULE 13G | Page 2 of 8 |
| 1 | NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) MIC Capital Partners (Public) (US) IM, LLC | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER Not applicable | ||
| 6 | SHARED VOTING POWER 1,266,461 | |||
| 7 | SOLE DISPOSITIVE POWER Not applicable | |||
| 8 | SHARED DISPOSITIVE POWER 1,266,461 | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,266,461 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.1% (1) | |||
| 12 | TYPE OF REPORTING PERSON (See Instructions) IA | |||
| (1) | The information set forth herein regarding percentages of beneficial ownership is based upon information obtained
from the Issuer regarding the number of shares of Class A Common Stock, par value $0.0001 per share, disclosed as outstanding as of April 26, 2019 by the Issuer in its quarterly report on Form 10-Q for the quarterly period ended March
31, 2019, and filed with the Commission on April 29, 2019. |
| CUSIP No. 36269P104 | SCHEDULE 13G | Page 3 of 8 |
| 1 | NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) MIC Capital Partners (Public) Parallel Cayman, LP | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER Not applicable | ||
| 6 | SHARED VOTING POWER 1,266,461 | |||
| 7 | SOLE DISPOSITIVE POWER Not applicable | |||
| 8 | SHARED DISPOSITIVE POWER 1,266,461 | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,266,461 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.1% (1) | |||
| 12 | TYPE OF REPORTING PERSON (See Instructions) CO | |||
| CUSIP No. 36269P104 | | Page 4 of 8 |
Item 1.
| (a) | Name of Issuer: |
Gaia, Inc.
| (b) | Address of Issuer’s Principal Executive Offices: |
833 West South Boulder Road, Louisville, CO 80027
Item 2.
| (a) | Name of Person Filing: |
| (i) | MIC Capital Partners (Public) (US) IM, LLC |
| (ii) | MIC Capital Partners (Public) Parallel Cayman, LP |
| (b) | Address of Principal Business Office or, if none, Residence: |
| (i) | P.O. Box 45005, Abu Dhabi, United Arab Emirates |
| (ii) | MIC Capital Partners (Public) Parallel Cayman, LP Walkers Corporate Limited Cayman Corporate Centre, 27 Hospital Rd. George Town, Grand Cayman KY1-9008, Cayman Islands |
| (c) | Citizenship: |
| (i) | The Emirate of Abu Dhabi, United Arab Emirates |
| (ii) | Cayman Islands |
| (d) | Title of Class of Securities: |
Class A Common Stock, par value $0.0001 per share
| (e) | CUSIP Number: |
36269P104
| CUSIP No. 36269P104 | | Page 5 of 8 |
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
| (a) | ☐ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
| (b) | ☐ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
| (c) | ☐ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
| (d) | ☐ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). |
| (e) | ☒ | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
| (g) | ☐ | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | ☐ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3); |
| (j) | ☐ | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
Item 4. Ownership.
| (a) | Amount Beneficially Owned: The responses of the Reporting Persons to Rows (5) through (11) of the cover pages of this Statement are
incorporated herein by reference. |
| (b) | Percent of Class: The responses of the Reporting Persons to Row (11) of the cover pages of this Statement are incorporated herein by
reference. |
| (c) | Number of shares as to which the person has: The responses of the Reporting Persons to Rows (5) through (8) of the cover pages of this
Statement are incorporated herein by reference. |
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By
the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Member of the Group.
Not applicable.
| CUSIP No. 36269P104 | | Page 6 of 8 |
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to
above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect.
| CUSIP No. 36269P104 | | Page 7 of 8 |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set
forth in this statement is true, complete and correct.
| MIC CAPITAL PARTNERS (PUBLIC) (US) IM, LLC | ||
| May 13, 2019 | ||
| Date | ||
| /s/ Christopher Fazekas | ||
| Signature | ||
| Christopher Fazekas/Authorized Signatory | ||
| Name/Title | ||
| MIC CAPITAL PARTNERS (PUBLIC) PARALLEL CAYMAN, LP | ||
| May 13, 2019 | ||
| Date | ||
| /s/ Christopher Fazekas | ||
| Signature | ||
| Christopher Fazekas/Authorized Signatory | ||
| Name/Title | ||