Accession Number: | 0001209191-15-030052 |
Date: | 2015-03-24 |
Issuer: | GAIAM, INC (GAIA) |
Original Submission Date: |
THOMAS STEPHEN J.
833 WEST SOUTH BOULDER ROAD
LOUISVILLE, CO 80027-2452
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2015-03-24 | M | 5,000 | a | $5.00 | 5,000 | direct | ||
CLASS A COMMON STOCK | 2015-03-24 | S | 5,000 | d | $7.57 | 0 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 5.0 | 2015-03-24 | deemed execution date | M | 5,000 (d) | 2015-06-03 | class a common stock 5,000 | $5.00 | 0 | direct |
ID | footnote |
---|---|
f1 | the price reported in column 4 is a weighted average. these shares were sold in multiple transactions at prices ranging from $7.65-$7.52, inclusive. the reporting person undertakes to provide to gaiam, inc., any security holder of gaiam, inc., or the staff of the securities and exchange commission, upon written request, full information regarding the number of shares sold at each price within the range set forth in footnote (1) to this from 4. |
f2 | the option is fully vested. the option was originally granted on june 3, 2008, repriced on january 15, 2009, and provided for vesting at 2% per month for 50 months commencing on may 1, 2009. |