GAIAM, INC 4

4 · GAIAM, INC · Filed Jun 17, 2016

Form 4

Period: 2016-06-16

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 total
Exercise: $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 total
Exercise: $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

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