Form 4 for BRFH BARFRESH FOOD GROUP INC.
Accepted 2023-03-06 00:00:00 ET · period of report 2020-03-23 · accession 0001493152-23-006860 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-03-06 | 2020-09-28 | BRFH | Delle Coste Riccardo | CEO, Dir, 10% | J - Other | — | +1,755 | 1.50M | +0.1% | — |
| D | 2023-03-06 | 2023-03-02 | BRFH | Delle Coste Riccardo | CEO, Dir, 10% | A - Grant | — | +18.3K | 58.4K | +46% | — |
| DM | 2023-03-06 | 2020-03-31+ | BRFH | Delle Coste Riccardo | CEO, Dir, 10% | A - Grant | — | +113.5K | 19.2K | New | — |
| DMI | 2023-03-06 | 2020-03-23+ | BRFH | Delle Coste Riccardo | CEO, Dir, 10% | A - Grant | — | +4,175 | 989 | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2020-09-28 | J | A | 1,755 | — | 1,501,880 | I RD Capital Holdings Pty Ltd | — | — | (F1) On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the M1/M2 note conversion, as well as additional warrants. |
| 2 | Common | Common Stock | 2023-03-02 | A | A | 18,300 | — | 58,419 | D | — | — | (F2) Represents the settlement of performance units in stock. Issued shares are net of 7,714 withheld to cover employee tax obligations. |
| 3 | Derivative | Q Warrants | 2020-03-31 | A | A | 75,029 | — | 75,029 | D RD Capital Holdings Pty Ltd | $3.51 · 2020-03-31 to 2025-03-30 | 75,029 Common Stock | (F6) Granted on March 31, 2020 in consideration of deferral of cash compensation due. |
| 4 | Derivative | P Warrants | 2020-03-23 | A | A | 2,308 | — | 2,308 | I | $7.80 · 2020-03-23 to 2023-03-23 | 2,308 Common Stock | (F4) On March 23, 2020, RD Capital Holdings Pty Ltd received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion. |
| 5 | Derivative | O Warrants | 2020-09-28 | A | A | 878 | — | 878 | I | $7.80 · 2020-09-28 to 2023-09-28 | 878 Common Stock | (F5) On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants. |
| 6 | Derivative | Stock option | 2022-04-27 | A | A | 19,231 | — | 19,231 | D RD Capital Holdings Pty Ltd | $6.79 · 2023-04-27 to 2030-04-27 | 19,231 Common Stock | (F3) Granted pursuant to employment agreement. Options vest in equal amounts annually over three years beginning on the first anniversary of the grant date. |
| 7 | Derivative | P Warrants | 2020-09-28 | A | A | 989 | — | 989 | I | $7.80 · 2020-09-28 to 2023-09-28 | 989 Common Stock | (F5) On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants. |
| 8 | Derivative | Stock option | 2021-04-27 | A | A | 19,231 | — | 19,231 | D RD Capital Holdings Pty Ltd | $5.72 · 2022-04-27 to 2029-04-27 | 19,231 Common Stock | (F3) Granted pursuant to employment agreement. Options vest in equal amounts annually over three years beginning on the first anniversary of the grant date. |