SEC Form 4 · accession 0001632920-15-000002
BARFRESH FOOD GROUP INC. · BRFH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alice Elliot
Director
Period of report
Nov 12, 2014
Accepted (ET)
Feb 5, 2015 · 6:03 pm 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,F2 | Nov 12, 2014 | P | 60,000 | $0.50 | A | 160,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| warrantsF1,F2 | $0.60 | Nov 12, 2014 | P | 30,000 | A | Nov 12, 2014 | Nov 12, 2017 | common stock | 30,000 | 180,000 | I |
Explanation of responses
- F1The common stock and warrants were acquired on 11/12/2014 in a private transaction as units. Each unit was comprised of one share of common stock and a warrant to purchase one-half of a share of common stock, at a purchase price per unit of $0.50.
- F2Held directly by Elliot-Herbst LP. As owner of Elliot-Herbst LP, Alice Elliot exercises voting and control over disposition of these securities.