SEC Form 4 · accession 0001493152-16-013727
BARFRESH FOOD GROUP INC. · BRFH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph M. Cugine
Officer — President Barfresh Corp Inc · Director
Period of report
Sep 28, 2016
Accepted (ET)
Sep 29, 2016 · 7:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2 | Sep 28, 2016 | P$0 | 78,125 | — | A | 306,139 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| "J" WarrantF1 | $0.75 | Sep 28, 2016 | P | 39,063 | A | Sep 28, 2016 | Sep 28, 2021 | common stock | 39,063 | 39,063 | D |
Explanation of responses
- F1One share of common Stock and 1/2 "J" Warrant purchased as units at a $0.64 per unit for aggregate purchase price of $50,000.
- F2An additional 500,000 shares are indirectly beneficially owned by Reporting Person. The Reporting Person indirectly exercises voting and dispositive power over these shares as principal of Restaurant Consulting Group LLC.