Alan B. Bergman - Sep 5, 2023 Form 4 Insider Report for SMART FOR LIFE, INC. (SMFL)

Role
Chief Financial Officer
Signature
/s/ Alan B. Bergman
Stock symbol
SMFL
Transactions as of
Sep 5, 2023
Transactions value $
$0
Form type
4
Date filed
9/7/2023, 04:57 PM
Previous filing
Aug 16, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SMFL Stock Option (right to buy) Award $0 +20K $0.00 20K Sep 5, 2023 Common Stock 20K $1.11 Direct F1
transaction SMFL Stock Option (right to buy) Award $0 +20K $0.00 20K Sep 6, 2023 Common Stock 20K $0.99 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares underlying the stock option shall vest in full on the date that the Issuer's stockholders approve Amendment No. 2 to the Smart for Life, Inc. 2022 Equity Incentive Plan, subject to the reporting person's continuous service (as defined in the Smart for Life, Inc. 2022 Equity Incentive Plan, as amended).