United States
Securities and Exchange Commission

Washington, D.C. 20549

 

Form 10-Q/A

 

ý        QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES AND EXCHANGE ACT OF 1934

 

For the Fiscal Quarter Ended September 30, 2003

 

OR

 

o        TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES AND EXCHANGE ACT OF 1934

 

Commission File Number 0-27517

 

GAIAM, INC.

(Exact name of registrant as specified in its charter)

 

COLORADO

 

84-1113527

(State or other jurisdiction of
incorporation or organization)

 

(I.R.S. Employer
Identification No.)

 

 

 

360 INTERLOCKEN BLVD.,
BROOMFIELD, COLORADO 80021

(Address of principal executive offices)

 

 

 

(303) 222-3600

(Registrant’s telephone number, including area code)

 

Indicate by check mark whether the registrant:  (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities and Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days.

 

YES        ý           NO          o

 

Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act).

 

YES        ý           NO          o

 

Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date:

 

Class

 

Shares outstanding as of October 30, 2003

 

 

 

Class A Common Stock
($.0001 par value)

 

9,201,296

 

 

 

Class B Common Stock
($.0001 par value)

 

5,400,000

 

 

 

EXPLANATORY NOTE

 

This Amendment on Form 10-Q/A revises Exhibits 31.1 and 31.2 to reflect language required for filings made after August 14, 2003.

 

Item 6.               Exhibits and Reports on Form 8-K.

 

a)         Exhibits

 

Exhibit No.

 

Description

31.1

 

Certification pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002

31.2

 

Certification pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002

 

 

Signatures

 

In accordance with the requirements of the Securities and Exchange Act, the registrant caused this report to be signed on its behalf, by the undersigned, thereunto duly authorized.

 

 

 

Gaiam, Inc.

 

(Registrant)

 

November 21, 2003

 

 

 

 

 

 

 

By:

/s/

Jirka Rysavy

 

 

 

 

 

Jirka Rysavy

 

 

 

 

Chief Executive Officer

 

 

 

 

 

/s/

Janet Mathews

 

 

 

 

 

Janet Mathews

 

 

 

 

Chief Financial Officer

 

 

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