AWM Investment Company, Inc. - 07 May 2025 Form 4 Insider Report for GAIA, INC (GAIA)

Reporting relationship: 10%+ Owner
Issuer ticker: GAIA
Reported as of: 07 May 2025
Net transaction value: -$103,350
SEC form: 4
Accepted by SEC: 09 May 2025, 16:24:39 UTC
Prior SEC filing: 14 Mar 2025
Next SEC filing: 08 May 2026
Source filing: View source filing
Reporting owner signature: Adam Stettner

Key filing fact

AWM Investment Company, Inc. filed Form 4 for GAIA, INC (GAIA) on 09 May 2025.

Key facts

This page summarizes AWM Investment Company, Inc.'s Form 4 filing for GAIA, INC (GAIA).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 09 May 2025, 16:24.

Change

Previous filing in this sequence was filed on 14 Mar 2025.
Current net transaction value: -$103,350.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001535264 Primary reporting owner

AWM Investment Company, Inc.

Relationship: 10%+ Owner
Address: 527 MADISON AVENUE, SUITE 2600, NEW YORK
Signature: Adam Stettner
Signature date: 09 May 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GAIA transaction

Common Stock

Sale

Transaction value: $51,287
Shares: -10,000
Change %: -0.51%
Price: $5.13
Shares after: 1,952,706
Date: 07 May 2025
Ownership: By Limited Partnership
Footnotes: F2

GAIA transaction

Common Stock

Sale

Transaction value: $52,063
Shares: -10,000
Change %: -0.51%
Price: $5.21
Shares after: 1,942,706
Date: 08 May 2025
Ownership: By Limited Partnership
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

AWM Investment Company, Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 2 footnotes

Footnote F1

AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay) and Special Situations Private Equity Fund, L.P. (SSPE). (SSPE and together with SSFQP and Cay, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 1,316,994 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 377,037 Shares held by Cay and 248,675 Shares held by SSPE. David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Footnote F2

This is a weighted average price.