SC 13G: GAIA, INC

AI Summary

SC 13G filing by GAIA, INC.

Risk Assessment

Risk Level: low

Filing Documents

• tm2412209d1_sc13g.htm (SC 13G) — 60KB
• 0001104659-24-048828.txt ( ) — 62KB

(a)

Item 1(a). Name of Issuer: GAIA, Inc. (the “Issuer”).

(b)

Item 1(b). Address of the Issuer's Principal Executive Offices: 833 West South Boulder Road Louisville, Colorado 80027

(a)

Item 2(a). Name of Person Filing T he names of the person filing this statement of Schedule 13G (collectively, the “Reporting Persons”) are: · Koller Capital LLC · Koller Microcap Opportunities Fund LP · Ross Koller

(b)

Item 2(b). Address of Principal Business Office or, if None, Residence: 1343 Main Street, Suite 413 Sarasota, FL 34236

(c)

Item 2(c). Citizenship: Koller Capital LLC is a Delaware limited liability company. Koller Microcap Opportunities Fund LP is a Delaware limited partnership. Ross Koller is a citizen of the United States.

(d)

Item 2(d). Title of Class of Securities: Common Stock (the “Shares”).

(e)

Item 2(e). CUSIP Number: 36269P104 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 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);Page 5 of 6 pages (j) Group, in accordance with §240.13d-1(b)(1)(ii)(J) CUSIP NO. 36269P104 Page 6 of 9 Pages Item 4.

(a)

Item 4(a). Amount Beneficially Owned: Aggregate of all Reporting Persons: 1,267,763 Koller Capital LLC – 1,267,763 Koller Microcap Opportunities Fund LP – 1,267,763 Ross Koller – 1,267,763

(b)

Item 4(b). Percent of Class: Aggregate of all Reporting Persons: 7.11% Koller Capital LLC – 7.11% Koller Microcap Opportunities Fund LP – 7.11% Ross Koller – 7.11%

(c)

Item 4(c). Number of shares as to which such person has: (i) Sole power to vote or direct the vote: Koller Capital LLC – 0 Koller Microcap Opportunities Fund LP – 0 Ross Koller – 0 (ii) Shared power to vote or to direct the vote: Koller Capital LLC – 1,267,763 Koller Microcap Opportunities Fund LP – 1,267,763 Ross Koller – 1,267,763 (iii) Sole power to dispose or to direct the disposition of Koller Capital LLC – 0 Koller Microcap Opportunities Fund LP – 0 Ross Koller – 0 (iv) Shared power to dispose or to direct the disposition of Koller Capital LLC – 1,267,763 Koller Microcap Opportunities Fund LP – 1,267,763 Ross Koller – 1,267,763 CUSIP NO. 36269P104 Page 7 of 9 Pages Item 5. This Item 5 is not applicable. Item 6. This Item 6 is not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: This Item 7 is not applicable. Item 8. Identification and Classification of Members of the Group: See Exhibit A. Item 9. Notice of Dissolution of Group: This Item 9 is not applicable. Item 10. Certification: By signing below the Reporting Person certifies that, to the best of such person's 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 such purpose or effect. CUSIP NO. 36269P104 Page 8 of 9 Pages

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: April 18, 2024 KOLLER CAPITAL LLC By: /s/ Ross Koller Ross Koller Managing Member KOLLER MICROCAP OPPORTUNITIES FUND LP By: /s/ Ross Koller Ross Koller Managing Member of Koller Microcap Opportunities GP LLC, general partner to Koller Microcap Opportunities Fund LP By: /s/ Ross Koller Ross Koller CUSIP NO. 36269P104 Page 9 of 9 Pages EXHIBIT A Joint Filing Agreement The Undersigned agree that the statements on Schedule 13G with respect to the common stock of GAIA, Inc. dated as of April 18, 2024, is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of them pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. Date: April 18, 2024 Signature: /s/ Ross Koller Name: Ross Koller KOLLER MICROCAP OPPORTUNITIES FUND LP By: /s/ Ross Koller Name: Ross Koller Title: Managing Member of Koller Microcap Opportunities GP LLC, general partner to Koller Microcap Opportunities Fund LP KOLLER CAPITAL LLC By: /s/ Ross Koller Name: Ross Koller Title: Managing Member

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View this SC 13G filing on SEC EDGAR