SEC Form 4 · accession 0001493152-18-002986
BARFRESH FOOD GROUP INC. · BRFH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph S. Tesoriero
Officer — Chief Financial Officer
Period of report
Jun 12, 2017
Accepted (ET)
Mar 7, 2018 · 6:39 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 | 175,000 | — | A | 278,258 | D | |
| Common StockF2 | Dec 15, 2017 | A | 18,044 | — | A | 296,302 | 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 | $0.77 | Jul 5, 2017 | A | 300,000 | A | — | Jul 5, 2025 | Common Stock | 300,000 | 300,000 | D |
| Stock Option (right to buy)F4 | $0.55 | Sep 15, 2017 | A | 175,000 | A | — | Sep 15, 2025 | Common Stock | 175,000 | 175,000 | 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 18,044 shares subject to a restricted stock award granted on December 12, 2016.
- F3Options granted by the compensation committee in recognition of executive's performance. Option vests in equal amounts annually over three years beginning on the grant date.
- F4Performance 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.