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
  1. 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.
  2. 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.
  3. 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.