# EDGAR Filing Document

**Accession Number:** 0001552487
**File Stem:** 0001209191-23-013361
**Filing Date:** 2023-2
**Character Count:** 7029
**Document Hash:** 99c69b5afb4e544e13e8179b27f918a7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-013361.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001209191-23-013361

**CONFORMED SUBMISSION TYPE**: 4/A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220428

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Sutherland Paul Howard
- **CENTRAL INDEX KEY:** 0001552487

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-27517
- **FILM NUMBER:** 23677190

**MAIL ADDRESS:**
- **STREET 1:** 111 CASS STREET
- **CITY:** TRAVERSE
- **STATE:** MI
- **ZIP:** 49684
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GAIA, INC
- **CENTRAL INDEX KEY:** 0001089872
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812]
- **IRS NUMBER:** 841113527
- **STATE OF INCORPORATION:** CO
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 833 WEST BOULDER ROAD
- **STREET 2:** BLDG G
- **CITY:** LOUISVILLE
- **STATE:** CO
- **ZIP:** 80027-2452
- **BUSINESS PHONE:** 3032223330

**MAIL ADDRESS:**
- **STREET 1:** 833 WEST BOULDER ROAD
- **STREET 2:** BLDG G
- **CITY:** LOUISVILLE
- **STATE:** CO
- **ZIP:** 80027-2452

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GAIAM, INC
- **DATE OF NAME CHANGE:** 20080519

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GAIAM INC
- **DATE OF NAME CHANGE:** 19990701

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4/A

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Sutherland Paul Howard<br><sub>(Last) (First) (Middle)</sub><br>833 WEST SOUTH BOULDER ROAD<br><sub>(Street)</sub><br>LOUISVILLE, CO 80027<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>GAIA, INC [ GAIA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2022-04-28 |  | M |  | 6435 | A | <sup>(1)</sup> | 128922<sup>(2)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(3)</sup> | 2022-04-28 |  | M |  |  | 6435 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 6435 | $0.00 | 0 | D |  |
| Restricted Stock Units | <sup>(3)</sup> | 2022-04-28 |  | A |  | 15278 |  | <sup>(5)</sup> | <sup>(5)</sup> | Class A Common Stock | 15278 | $0.00 | 15278 | D |  |

---

### Footnotes:

(1) Restricted stock units were converted into common stock on a one-for-one basis

(2) Form 4 as originally filed on 5/2/2022 incorrectly reported 177,871 due to a data entry error.

(3) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock.

(4) The RSUs vest on the date of the Annual Shareholder Meeting in April 2022, subject to continued services as a Director. Vested Class A Common Stock will be delivered to the reporting person within sixty days following the date on which the RSUs vest.

(5) The RSUs vest on the date of the Annual Shareholder Meeting in April 2023, subject to continued services as a Director. Vested Class A Common Stock will be delivered to the reporting person within sixty days following the date on which the RSUs vest.

**Remarks:**
Amended form being filed to correct a typographical error in Table I, Field 5 on the original filing which misreported the amount of securities beneficially owned following the transactions being reported.

**Signature:** /S/ Paul Tarell Attorney-In-Fact for Paul Sutherland  
**Date:** 2023-02-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**