Form 4 for GAIA GAIA, INC
Accepted 2022-04-04 00:00:00 ET · period of report 2022-03-31 · accession 0001209191-22-022136 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-04-04 | 2022-03-31 | GAIA | Tarell Paul C. Jr. | CFO | M - OptEx | $4.92 | +50.0K | 152.8K | +49% | +$246.0K |
| D | 2022-04-04 | 2016-11-01 | GAIA | Tarell Paul C. Jr. | CFO | M - OptEx | $0.00 | -50.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2022-03-31 | M | A | 50,000 | $4.92 | 152,802 | D | — | — | (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. |
| 2 | Derivative | Restricted Stock Unit | 2016-11-01 | M | D | 50,000 | $0.00 | 0 | D | — · — to — | 50,000 Class A Common Stock | (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. |