SEC Form 4 · accession 0001493152-18-002983
BARFRESH FOOD GROUP INC. · BRFH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph M. Cugine
Officer — President · Director
Period of report
Jun 12, 2017
Accepted (ET)
Mar 7, 2018 · 6:36 am EST
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 | Jun 12, 2017 | A | 500,000 | — | A | 806,139 | D | |
| Common StockF2 | Dec 15, 2017 | A | 23,275 | — | A | 829,414 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $0.55 | Sep 15, 2017 | A | 250,000 | A | — | Jul 5, 2025 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Represents vesting of restricted stock award granted on May 8, 2015 pursuant to the reporting persons' executive employment contract.
- F2Represents vesting of 23,275 shares subject to a restricted stock award granted on December 12, 2016.
- F3Performance options granted pursuant to executive employment agreement. Option vests in equal amounts annually over three years beginning on the first anniversary of the grant date.