Filing Details
- Accession Number:
- 0001209191-14-044481
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-30 21:09:02
- Reporting Period:
- 2014-06-26
- Filing Date:
- 2014-06-30
- Accepted Time:
- 2014-06-30 21:09:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1089872 | Gaiam Inc | GAIA | Services-Motion Picture & Video Tape Production (7812) | 841113527 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1113412 | Lynn Powers | 833 West South Boulder Road Louisville CO 80027-2452 | Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2014-06-26 | 27,047 | $5.30 | 251,047 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-06-26 | 27,047 | $8.40 | 224,000 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2014-06-27 | 8,100 | $5.30 | 232,100 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-06-27 | 8,100 | $8.05 | 224,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-06-26 | 27,047 | $0.00 | 27,047 | $5.30 |
| Class A Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-06-27 | 8,100 | $0.00 | 8,100 | $5.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 117,300 | 2015-03-31 | No | 4 | M | Direct | |
| 109,200 | 2015-03-31 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.11 to $8.53, inclusive. The reporting person undertakes to provide Gaiam, Inc., any security holder of Gaiam, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.19, inclusive. The reporting person undertakes to provide Gaiam, Inc., any security holder of Gaiam, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4.
- The option is fully vested. The option was originally granted November 20, 2003, and provided for vesting of 2% per month for 50 months commencing on October 1, 2004.
Billionaire Hedge Funds
