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Gaia, Inc. – ‘8-K’ for 11/5/20

On:  Tuesday, 11/10/20, at 5:25pm ET   ·   For:  11/5/20   ·   Accession #:  1564590-20-53053   ·   File #:  0-27517

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/10/20  Gaia, Inc.                        8-K:2,5,9  11/05/20   11:611K                                   ActiveDisclosure/FA

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     27K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    110K 
 7: R1          Document And Entity Information                     HTML     46K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
 6: XML         XBRL Instance -- gaia-8k_20201105_htm                XML     14K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.LAB  XBRL Labels -- gaia-20201105_lab                     XML     56K 
 5: EX-101.PRE  XBRL Presentations -- gaia-20201105_pre              XML     34K 
 3: EX-101.SCH  XBRL Schema -- gaia-20201105                         XSD     18K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    19K 
11: ZIP         XBRL Zipped Folder -- 0001564590-20-053053-xbrl      Zip     22K 


‘8-K’   —   Current Report


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 iX:   C:   C:   C:   C:   C:   C: 
 i false  i 0001089872 0001089872 2020-11-05 2020-11-05

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM  i 8-K

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of Earliest Event Reported):  i November 5, 2020

 

 i GAIA, INC.

(Exact Name of Registrant as Specified in its Charter)

 

 i Colorado

 

 i 000-27517

 

 i 84-1113527

(State or Other Jurisdiction
of Incorporation)

 

(Commission File
Number)

 

(IRS Employer
Identification No.)

 

 i 833 West South Boulder Road,  i Louisville,  i CO  i 80027-2452

(Address of Principal Executive Offices; Zip Code)

 

Registrant’s telephone number, including area code: ( i 303)  i 222-3600

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

 i  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 i  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 i  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 i  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

 

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

 i Class A Common Stock

 i GAIA

 i NASDAQ Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company    i 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

 

 


 

Item 2.02

Results of Operations and Financial Condition.

On November 9, 2020, Gaia issued a press release announcing results for its quarter ended September 30, 2020. A copy of the press release is attached as Exhibit 99.1 to this Current Report.

In accordance with General Instruction B.2 of Form 8-K, the information contained in this Item 2.02 and in Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference into any of the Registrant’s filings under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in any such filing.

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b) On November 5, 2020, Brad Warkins became Head of Business Development and International. This change from President was made at Mr. Warkins’ request to enable him to devote his full time to business development and international activities. Kiersten Medvedich, Executive Vice President of Content, Paul Tarell, Chief Financial Officer and Yon Nuta Executive Vice President of Retention were appointed to the newly created Office of President. Also, on November 5, 2020, Dae Mellencamp, Gaia’s part-time Chief Operating Officer, resigned from her position to attend to her mother. She continues to serve as a director of Gaia.

Item 9.01

Financial Statements and Exhibits.

 

 

 

 

Exhibit No.

  

Description of Exhibit

 

 

 

99.1

  

Press Release issued by Gaia on November 9, 2020

104

 

Cover Page Interactive Data File


 


 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

GAIA, INC.



By:  
/s/ Paul Tarell
        Name: Paul Tarell
        Title: Chief Financial Officer

Date: November 10, 2020

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:11/10/20
11/9/2010-Q
For Period end:11/5/203,  4
9/30/2010-Q
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