GAIA, INC|4Jun 18, 4:33 PM ET

Colquhoun James 4

4 · GAIA, INC · Filed Jun 18, 2020

Form 4

Period: 2020-06-18

Director

Transactions

Conversion
Class A Common Stock
2020-06-18+206,542→ 871,719 total(indirect: By Trust)
Conversion
Class A Common Stock
2020-06-18+40,728→ 871,719 total(indirect: By Trust)
Other
Class A Common Stock
2020-06-18+139,617→ 871,719 total(indirect: By Trust)
Conversion
Convertible Secured Promissory Note
2020-06-18$300000.00/sh−41,145$12,343,500,000→ 0 total(indirect: By Trust)
Exercise: $7.51Exp: 2021-01-02→ Class A Common Stock (41,145 underlying)
Conversion
Convertible Secured Promissory Note
2020-06-18$1450000.00/sh−208,589$302,454,050,000→ 0 total(indirect: By Trust)
Exercise: $7.16Exp: 2021-01-02→ Class A Common Stock (208,589 underlying)

Footnotes (7)

[F1]Issued for conversion of convertible secured promissory note with outstanding principal of $1,450,000 plus $28,841.10 of accrued but unpaid interest through the conversion date.
[F2]Includes 751,050 shares owned by the Colquhoun ten Bosch Family Trust for which the reporting person is trustee and 120,669 shares owned by Food Matters Holdings Unit Trust for which the reporting person is trustee.
[F3]Issued for conversion of convertible secured promissory note with outstanding principal of $300,000 plus $5,868.49 of accrued but unpaid interest through the conversion date.
[F4]Issued as additional consideration for acquisition consummated in June 2019 as disclosed in the Form 10-Q filed with the SEC on August 6, 2019.
[F5]Principal and accrued interest on the note are convertible into shares and interest accrues at the rate of 2%, compounded monthly. Number of shares listed is based on the outstanding principal and interest that would accrue if the note remains outstanding until its maturity on January 2, 2021.
[F6]30 days after notice to issuer.
[F7]Represents principal value of the note.

Documents

1 file