Initial Statement of Beneficial Ownership (3)
25 April 2020 - 2:59AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Colquhoun James |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/23/2020
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3. Issuer Name and Ticker or Trading Symbol
GAIA, INC [GAIA]
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(Last)
(First)
(Middle)
833 W SOUTH BOULDER ROAD, BLDG G |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
LOUISVILLE, CO 80027
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Convertible Secured Promissory Note | (1) | 1/2/2021 | Class A Common Stock | 208589 (2) | $7.16 | I | By Colquhoun ten Bosch Family Trust |
Convertible Secured Promissory Note | (1) | 1/2/2021 | Class A Common Stock | 41145 (2) | $7.51 | I | By Food Matters Holdings Unit Trust |
Explanation of Responses: |
(1) | 30 days after notice to the issuer. |
(2) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Colquhoun James 833 W SOUTH BOULDER ROAD, BLDG G LOUISVILLE, CO 80027 | X |
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Signatures
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Paul Tarell Attorney in Fact for James Colquhoun | | 4/24/2020 |
**Signature of Reporting Person | Date |
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