0001051042-15-000004.txt : 20150113 0001051042-15-000004.hdr.sgml : 20150113 20150113112607 ACCESSION NUMBER: 0001051042-15-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150113 DATE AS OF CHANGE: 20150113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GAIAM, 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-58429 FILM NUMBER: 15523980 BUSINESS ADDRESS: STREET 1: 833 WEST BOULDER ROAD CITY: LOUISVILLE STATE: CO ZIP: 80027-2452 BUSINESS PHONE: 3032223600 MAIL ADDRESS: STREET 1: 833 WEST BOULDER ROAD CITY: LOUISVILLE STATE: CO ZIP: 80027-2452 FORMER COMPANY: FORMER CONFORMED NAME: GAIAM INC DATE OF NAME CHANGE: 19990701 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 BUSINESS PHONE: 2319294500 MAIL ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 SC 13G 1 gaia13g12312014.txt GAIAM INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 GAIAM, INC -------------------------------------------------- (NAME OF ISSUER) CLASS A COMMON STOCK -------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 36268Q103 -------------------------------------------------- (CUSIP NUMBER) December 31, 2014 -------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: {X} RULE 13D-1(B) { } RULE 13D-1(C) { } RULE 13D-1(D) *The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities,and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be ""filed"" for the purpose of Section 18 of the Securities Exchange Act of 1934 (""Act"") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the notes.) PAGE 1 OF 4 CUSIP NO. 36268Q103 SCHEDULE 13G PAGE 2 OF 4 (1) NAME AND IRS NUMBER OF REPORTING PERSONS FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD. (#38-2562340) (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP A.............{ } B.............{ } (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION MICHIGAN NUMBER OF SHARES OF: (5) SOLE VOTING POWER NONE (6) SHARED VOTING POWER 1,760,470 (7) SOLE DISPOSITIVE POWER NONE (8) SHARED DISPOSITIVE POWER 1,760,470 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED 1,760,470 *SEE NOTE 1* (10) CHECK IF AGGREGATE AMOUNT EXCEEDS CERTAIN SHARES { } (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.23% (12) TYPE OF REPORTING PERSON IA CUSIP 36268Q103 SCHEDULE 13G PAGE 3 OF 4 ITEM 1 (A) NAME OF ISSUER GAIAM, INC ITEM 1 (B) ADDRESS OF ISSUER 833 WEST BOULDER ROAD LOUISVILLE, CO 80027-2452 ITEM 2 (A) NAME OF PERSON FILING FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD ITEM 2 (B) ADDRESS OF PERSON FILING 111 CASS ST. TRAVERSE CITY, MI 49684 ITEM 2 (C) CITIZENSHIP MICHIGAN ITEM 2 (D) TITLE OF CLASS OF SECURITIES CLASS A COMMON STOCK ITEM 2 (E) CUSIP NO. 36268Q103 ITEM 3 THIS STATEMENT IS BEING FILED BY AN INVESTMENT ADVISOR IN ACCORDANCE WITH RULE 13D-1(B)(1)(ii)(E). CUSIP 36268Q103 SCHEDULE 13G PAGE 4 OF 4 OWNERSHIP ITEM 4 (A) AMOUNT BENEFICIALLY OWNED 1,760,470 * SEE NOTE 1 * ITEM 4 (B) PERCENT OF CLASS 9.23% ITEM 4 (C) NUMBER OF SHARES: (i) SOLE POWER TO VOTE NONE (ii) SHARED POWER TO VOTE 1,760,470 (iii) SOLE POWER TO DISPOSE NONE (iv) SHARED POWER TO DISPOSE 1,760,470 ** NOTE 1 ** FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD IS A REGISTERED INVESTMENT ADVISOR, MANAGING INDIVIDUAL CLIENT ACCOUNTS. ALL SHARES REPRESENTED IN THIS REPORT ARE HELD IN ACCOUNTS OWNED BY THE CLIENTS OF FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD. BECAUSE OF THIS, FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD DISCLAIMS BENEFICIAL OWNERSHIP. ITEM (5) OWNERSHIP OF LESS THAN FIVE PERCENT CHECK THE FOLLOWING BOX IF THE STATEMENT IS BEING FILED TO NOTIFY THAT THE OWNERSHIP IS NOW LESS THAN FIVE PERCENT { } ITEM (6) OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ALL SHARES REPRESENTED IN THIS REPORT ARE OWNED BY ADVISORY CLIENTS OF FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD NONE OF WHICH, TO OUR KNOWLEDGE, OWNS FIVE PERCENT OR MORE OF THE CLASS. ITEM (7) IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: NOT APPLICABLE ITEM (8) IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP NOT APPLICABLE ITEM (9) NOTICE OF DISSOLUTION OF GROUP NOT APPLICABLE ITEM (10) CERTIFICATION By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influecing the control of the issuer of such securities and were not acquired in the connection with or as a participant in any transaction having such purposes or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct." January 13, 2015 Matthew Bohrer CCO