GAIA » Topics » BENEFICIAL OWNERSHIP OF SHARES

This excerpt taken from the GAIA DEF 14A filed Apr 22, 2005.

BENEFICIAL OWNERSHIP OF SHARES

        The following table sets forth certain information with respect to the beneficial ownership of our common stock as of April 5, 2005, except as noted, for (i) each person (or group of affiliated persons) who, insofar as Gaiam has been able to ascertain, beneficially owned more than 5% of the outstanding shares of Class A or Class B Common Stock of Gaiam, (ii) each director and nominee for director, (iii) each executive officer named in the table above, and (iv) all current directors and executive officers as a group.

Title of
Class of
Common
Stock

  Name and Address of Beneficial Owner(1)
  Amount and
Nature of
Beneficial
Ownership(2)

  Percent of
Class

 
Class A   Jirka Rysavy   7,764,000 (3)(4) 51.69 %
    Columbia Wanger Asset Management(5)   1,212,000 (5) 12.87 %
    Wentworth, Hauser & Violich(6)   630,249 (6) 6.69 %
    S.A.C. Capital Advisors, LLC(7)   502,497 (7) 5.33 %
    Lynn Powers   452,000 (4) 4.62 %
    James Argyropoulos   236,042 (4)(8) 2.50 %
    Janet Mathews   44,600 (4) *  
    Barnet Feinblum   29,886 (4)(9) *  
    Barbara Mowry   20,948 (4) *  
    Paul Ray   16,121 (4) *  
    Ted Nark     *  
    All directors and officers as a group (8 persons)   8,563,597 (3)(4) 55.40 %

Class B

 

Jirka Rysavy

 

5,400,000

 

100.0

%
    All directors and officers as a group (8 persons)   5,400,000   100.0 %

*
Indicates less than one percent ownership

(1)
The address of all persons listed is 360 Interlocken Blvd., Broomfield, Colorado, 80021, except as otherwise noted.

(2)
This table is based upon information supplied by officers, directors and principal shareholders on Schedule 13Gs and Forms 3, 4 and 5 filed with the Securities and Exchange Commission. All beneficial ownership is direct, except as otherwise noted. Share amounts include stock options exercisable within 60 days of April 5, 2005.

(3)
Includes 5,400,000 shares of Class A Common Stock obtainable upon conversion of Class B Common Stock.

(4)
Includes the following shares issuable upon the exercise of stock options which can be exercised within sixty days of April 5, 2005: Mr. Rysavy, 200,000; Ms. Powers, 354,800; Mr. Argyropoulos, 10,000; Ms. Mathews, 44,000; Mr. Feinblum, 10,000; Ms. Mowry, 10,000; and Mr. Ray, 10,000.

(5)
Based on a Schedule 13G filed as of February 11, 2005. The address for Columbia Wanger Asset Management, L.P. is 227 West Monroe Street, Suite 3000, Chicago, Illinois 60606.

(6)
Based on a Schedule 13G filed as of February 3, 2005. The address for Wentworth, Hauser & Violich is 353 Sacramento Street, Suite 600, San Francisco, CA 94111.

(7)
Based on a Schedule 13G filed as of February 14, 2005. The address for S.A.C. Capital Advisors is 72 Cummings Point Road, Stamford, CT 06902.

(8)
Includes 220,000 shares of Class A Common Stock held by Argyropoulos Investors.

(9)
Includes 4,000 shares of Class A Common Stock held by Mr. Feinblum's wife, as to which Mr. Feinblum disclaims beneficial ownership.
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