Joseph M. Cugine - 16 Apr 2015 Form 4 Insider Report for BARFRESH FOOD GROUP INC. (BRFH)

Role
Director
Signature
/s/ Joseph M. Cusine
Issuer symbol
BRFH
Transactions as of
16 Apr 2015
Net transactions value
+$6,000
Form type
4
Filing time
11 May 2021, 14:05:26 UTC
Next filing
18 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BRFH Common Stock Award +500,000 +60% 1,329,414 21 Dec 2016 Direct F1
transaction BRFH Common Stock Award +500,000 +38% 1,829,414 21 May 2018 Direct F1
transaction BRFH Common Stock Award +23,275 +1.3% 1,852,689 03 Dec 2018 Direct F2
transaction BRFH Common Stock Purchase $6,000 +10,000 +0.54% $0.6000 1,862,689 10 Mar 2020 Direct
transaction BRFH Common Stock Other +125,228 +6.7% 1,987,917 23 Mar 2020 Direct F3
transaction BRFH Common Stock Other +53,669 +2.7% 2,041,586 28 Sep 2020 Direct F4

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 BRFH Stock options Award +600,000 600,000 16 Apr 2015 Common Stock 600,000 $0.5000 Direct F5
transaction BRFH Stock options Award +83,791 83,791 25 Nov 2016 Common Stock 83,791 $0.7200 Direct F5
transaction BRFH Stock options Award +250,000 250,000 26 Jul 2018 Common Stock 250,000 $0.5200 Direct F5
transaction BRFH Stock options Award +74,405 74,405 07 May 2021 Common Stock 74,405 $0.4200 Direct F6
transaction BRFH L Warrant M2 Purchase +6,720 6,720 30 Nov 2018 Common Stock 6,720 $0.6000 Direct F7
transaction BRFH M Warrant Award +273,798 273,798 30 Mar 2019 Common Stock 273,798 $0.7000 Direct F8
transaction BRFH O Warrant Other +62,614 62,614 23 Mar 2020 Common Stock 62,614 $0.6000 Direct F3
transaction BRFH O Warrant Other +26,835 26,835 28 Sep 2020 Common Stock 26,835 $0.6000 Direct F4
holding BRFH Stock options 250,000 16 Apr 2015 Common Stock 250,000 $0.6100 Direct
holding BRFH Stock options 250,000 16 Apr 2015 Common Stock 250,000 $0.5500 Direct
holding BRFH J Warrant 39,063 16 Apr 2015 Common Stock 39,063 $0.7500 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents vesting of restricted stock award granted on May 8, 2015.
F2 Represents vesting of restricted stock award granted on December 12, 2016.
F3 On March 23, 2020, Mr. Cugine converted his M1/M2 convertible notes into common stock "O" Warrants were issued for participation in the conversion.
F4 On September 28, 2020, Mr. Cugine received additional shares due to a price adjustment on the M1/M2 convertible note conversion, as well as additional warrants.
F5 Performance options granted pursuant to executive employment agreement. Option vests in equal amounts annually over three years begining on the first anniversary of the grant date.
F6 Stock option granted as non-employee director board compensation
F7 On November 30, 2018, Mr. Cugine purchased a convertible and warrants, convertible and exercisable at a trailing average price between $0.88 and $0.60 per share.
F8 Payment of deferred compensation.