0000947871-19-000365.txt : 20190513 0000947871-19-000365.hdr.sgml : 20190513 20190513170722 ACCESSION NUMBER: 0000947871-19-000365 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20190513 DATE AS OF CHANGE: 20190513 GROUP MEMBERS: MIC CAPITAL PARTNERS (PUBLIC) (US) IM, LLC SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-58429 FILM NUMBER: 19819269 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: 20080519 FORMER COMPANY: FORMER CONFORMED NAME: GAIAM INC DATE OF NAME CHANGE: 19990701 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MIC Capital Partners (Public) Parallel Cayman, LP CENTRAL INDEX KEY: 0001775215 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: WALKERS CORPORATE LIMITED STREET 2: CAYMAN CORPORATE CENTRE, 27 HOSPITAL RD. CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-9008 BUSINESS PHONE: 345-814-7600 MAIL ADDRESS: STREET 1: WALKERS CORPORATE LIMITED STREET 2: CAYMAN CORPORATE CENTRE, 27 HOSPITAL RD. CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-9008 SC 13G 1 ss136539_sc13g.htm SCHEDULE 13G

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
SCHEDULE 13G

(Amendment No. __)*
 
Under the Securities Exchange Act of 1934
 
 
Gaia, Inc.
(Name of Issuer)
 
 
Class A Common Stock, par value $0.0001 per share
(Title of Class of Securities)
 
 
36269P104
(CUSIP Number)
 
 
May 1, 2019
(Date of Event Which Requires Filing of this Statement)
  
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
  
☒ 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 person’s 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 (the “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).
 




CUSIP No. 36269P104
 SCHEDULE 13G
Page 2 of 8
         
1
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
MIC Capital Partners (Public) (US) IM, LLC
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☐
(b) ☐
 
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
Not applicable
6
SHARED VOTING POWER
 
1,266,461
7
SOLE DISPOSITIVE POWER
 
Not applicable
8
SHARED DISPOSITIVE POWER
 
1,266,461
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
1,266,461
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 
 
 ☐
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
10.1% (1)
12
TYPE OF REPORTING PERSON (See Instructions)
 
IA
 
(1)
The information set forth herein regarding percentages of beneficial ownership is based upon information obtained from the Issuer regarding the number of shares of Class A Common Stock, par value $0.0001 per share, disclosed as outstanding as of April 26, 2019 by the Issuer in its quarterly report on Form 10-Q for the quarterly period ended March 31, 2019, and filed with the Commission on April 29, 2019.
 
 



CUSIP No. 36269P104
 SCHEDULE 13G
Page 3 of 8
         
1
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
MIC Capital Partners (Public) Parallel Cayman, LP
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☐
(b) ☐
 
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
Not applicable
6
SHARED VOTING POWER
 
1,266,461
7
SOLE DISPOSITIVE POWER
 
Not applicable
8
SHARED DISPOSITIVE POWER
 
1,266,461
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
1,266,461
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 
 
 ☐
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
10.1% (1)
12
TYPE OF REPORTING PERSON (See Instructions)
 
CO
 


CUSIP No. 36269P104

Page 4 of 8


Item 1.
 
(a)
Name of Issuer:
 
Gaia, Inc.
 
(b)
Address of Issuer’s Principal Executive Offices:
 
833 West South Boulder Road, Louisville, CO 80027
 
Item 2.
 
(a)
Name of Person Filing:
 

 (i)
MIC Capital Partners (Public) (US) IM, LLC


(ii)
MIC Capital Partners (Public) Parallel Cayman, LP
 
(b)
Address of Principal Business Office or, if none, Residence:
 

 (i)
P.O. Box 45005, Abu Dhabi, United Arab Emirates
 

 (ii)
MIC Capital Partners (Public) Parallel Cayman, LP
Walkers Corporate Limited
Cayman Corporate Centre, 27 Hospital Rd.
George Town, Grand Cayman KY1-9008, Cayman Islands
 
(c)
Citizenship:
 

 (i)
The Emirate of Abu Dhabi, United Arab Emirates
 

 (ii)
Cayman Islands
 
(d)
Title of Class of Securities:
 
Class A Common Stock, par value $0.0001 per share
 
(e)
CUSIP Number:
 
36269P104
CUSIP No. 36269P104

Page 5 of 8

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
(a)
☐
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
     
(b)
☐
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
     
(c)
☐
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
     
(d)
☐
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
     
(e)
☒
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
     
(f)
☐
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
     
(g)
☐
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
     
(h)
☐
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i)
☐
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j)
☐
Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4.  Ownership.
 
(a)
Amount Beneficially Owned: The responses of the Reporting Persons to Rows (5) through (11) of the cover pages of this Statement are incorporated herein by reference.
  
(b)
Percent of Class:  The responses of the Reporting Persons to Row (11) of the cover pages of this Statement are incorporated herein by reference.
 
(c)
Number of shares as to which the person has: The responses of the Reporting Persons to Rows (5) through (8) of the cover pages of this Statement are incorporated herein by reference.
 
Item 5.  Ownership of Five Percent or Less of a Class.
 
Not applicable.

Item 6.  Ownership of More than Five Percent on Behalf of Another Person.
 
Not applicable.
 
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 Member of the Group.
 
Not applicable.


CUSIP No. 36269P104

Page 6 of 8


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 not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 



CUSIP No. 36269P104

Page 7 of 8


SIGNATURE
 
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.


 
MIC CAPITAL PARTNERS (PUBLIC) (US) IM, LLC
  
     
 
May 13, 2019
  
 
Date
  
     
 
/s/ Christopher Fazekas
 
 
Signature
  
     
 
Christopher Fazekas/Authorized Signatory
  
 
Name/Title
  
     
     
 
MIC CAPITAL PARTNERS (PUBLIC) PARALLEL CAYMAN, LP
  
     
 
May 13, 2019
  
 
Date
  
     
 
/s/ Christopher Fazekas
 
 
Signature
  
     
 
Christopher Fazekas/Authorized Signatory
  
 
Name/Title
  
     









EX-99.A 2 ss136539_ex99a.htm JOINT FILING AGREEMENT

CUSIP No. 36269P104

Page 8 of 8

AGREEMENT OF JOINT FILING
 
Pursuant to Rule 13d-1(k)(1) of the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended, each of the undersigned agrees that the statement on Schedule 13G filed herewith shall be filed on behalf of each of the undersigned.


 
MIC CAPITAL PARTNERS (PUBLIC) (US) IM, LLC
  
     
 
May 13, 2019
  
 
Date
  
     
 
/s/ Christopher Fazekas
 
 
Signature
  
     
 
Christopher Fazekas/Authorized Signatory
  
 
Name/Title
  
     
     
 
MIC CAPITAL PARTNERS (PUBLIC) PARALLEL CAYMAN, LP
  
     
 
May 13, 2019
  
 
Date
  
     
 
/s/ Christopher Fazekas
 
 
Signature
  
     
 
Christopher Fazekas/Authorized Signatory
  
 
Name/Title