4//SEC Filing
GAIAM, INC 4
Accession 0001209191-16-128719
$GAIACIK 0001089872operating
Filed
Jun 16, 8:00 PM ET
Accepted
Jun 17, 7:16 PM ET
Size
15.0 KB
Accession
0001209191-16-128719
Insider Transaction Report
Form 4
GAIAM, INCGAIA
POWERS LYNN
DirectorCEO
Transactions
- Exercise/Conversion
Class A Common Stock
2016-06-16$5.30/sh+40,000$212,000→ 264,000 total - Exercise/Conversion
Class A Common Stock
2016-06-17$5.30/sh+69,200$366,760→ 293,200 total - Sale
Class A Common Stock
2016-06-16$7.60/sh−40,000$303,892→ 224,000 total - Exercise/Conversion
Employee Stock Option (right to buy)
2016-06-17−69,200→ 0 totalExercise: $5.30Exp: 2016-06-30→ Class A Common Stock (69,200 underlying) - Sale
Class A Common Stock
2016-06-17$7.61/sh−69,200$526,287→ 224,000 total - Exercise/Conversion
Employee Stock Option (right to buy)
2016-06-16−40,000→ 69,200 totalExercise: $5.30Exp: 2016-06-30→ Class A Common Stock (40,000 underlying)
Footnotes (3)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.59 to $7.63, 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.
- [F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.59 to $7.62, 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 (2) to this Form 4.
- [F3]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. The option would have expired on June 30, 2016 and as a result, would not have been eligible for tender under the company's tender offer that is anticipated to close on July 1, 2016.
Documents
Issuer
GAIAM, INC
CIK 0001089872
Entity typeoperating
IncorporatedCO
Related Parties
1- filerCIK 0001089872
Filing Metadata
- Form type
- 4
- Filed
- Jun 16, 8:00 PM ET
- Accepted
- Jun 17, 7:16 PM ET
- Size
- 15.0 KB