Riccardo Delle Coste - 23 Mar 2020 Form 4 Insider Report for BARFRESH FOOD GROUP INC. (BRFH)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Riccardo Delle Coste
Issuer symbol
BRFH
Transactions as of
23 Mar 2020
Net transactions value
$0
Form type
4
Filing time
06 Mar 2023, 18:41:26 UTC
Next filing
10 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BRFH Common Stock Other +1,755 +0.12% 1,501,880 28 Sep 2020 RD Capital Holdings Pty Ltd F1
transaction BRFH Common Stock Award +18,300 +46% 58,419 02 Mar 2023 Direct F2
holding BRFH Common Stock 6,782 23 Mar 2020 Delle Coste Family Trust

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 option Award +19,231 19,231 27 Apr 2022 Common Stock 19,231 $6.79 Direct F3
transaction BRFH Stock option Award +19,231 19,231 27 Apr 2021 Common Stock 19,231 $5.72 Direct F3
transaction BRFH Q Warrants Award +75,029 75,029 31 Mar 2020 Common Stock 75,029 $3.51 Direct F6
transaction BRFH P Warrants Award +2,308 2,308 23 Mar 2020 Common Stock 2,308 $7.80 RD Capital Holdings Pty Ltd F4
transaction BRFH O Warrants Award +878 878 28 Sep 2020 Common Stock 878 $7.80 RD Capital Holdings Pty Ltd F5
transaction BRFH P Warrants Award +989 989 28 Sep 2020 Common Stock 989 $7.80 RD Capital Holdings Pty Ltd F5
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $4.94 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $5.85 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $6.76 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $9.36 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $7.15 Direct
holding BRFH Stock option 9,616 23 Mar 2020 Common Stock 9,616 $9.36 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $7.93 Direct
holding BRFH Stock option 19,231 23 Mar 2020 Common Stock 19,231 $8.97 Direct
holding BRFH O Warrants 2,048 23 Mar 2020 Common Stock 2,048 $7.80 RD Capital Holdings Pty Ltd
holding BRFH M Warrants 56,280 23 Mar 2020 Common Stock 56,280 $9.10 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the M1/M2 note conversion, as well as additional warrants.
F2 Represents the settlement of performance units in stock. Issued shares are net of 7,714 withheld to cover employee tax obligations.
F3 Granted pursuant to employment agreement. Options vest in equal amounts annually over three years beginning on the first anniversary of the grant date.
F4 On March 23, 2020, RD Capital Holdings Pty Ltd received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion.
F5 On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.
F6 Granted on March 31, 2020 in consideration of deferral of cash compensation due.