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

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Riccardo Delle Coste
Stock symbol
BRFH
Transactions as of
Mar 23, 2020
Transactions value $
$0
Form type
4
Date filed
3/6/2023, 06:41 PM
Next filing
Mar 10, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BRFH Common Stock Other +1.76K +0.12% 1.5M Sep 28, 2020 RD Capital Holdings Pty Ltd F1
transaction BRFH Common Stock Award +18.3K +45.61% 58.4K Mar 2, 2023 Direct F2
holding BRFH Common Stock 6.78K Mar 23, 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 +19.2K 19.2K Apr 27, 2022 Common Stock 19.2K $6.79 Direct F3
transaction BRFH Stock option Award +19.2K 19.2K Apr 27, 2021 Common Stock 19.2K $5.72 Direct F3
transaction BRFH Q Warrants Award +75K 75K Mar 31, 2020 Common Stock 75K $3.51 Direct F6
transaction BRFH P Warrants Award +2.31K 2.31K Mar 23, 2020 Common Stock 2.31K $7.80 RD Capital Holdings Pty Ltd F4
transaction BRFH O Warrants Award +878 878 Sep 28, 2020 Common Stock 878 $7.80 RD Capital Holdings Pty Ltd F5
transaction BRFH P Warrants Award +989 989 Sep 28, 2020 Common Stock 989 $7.80 RD Capital Holdings Pty Ltd F5
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $4.94 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $5.85 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $6.76 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $9.36 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $7.15 Direct
holding BRFH Stock option 9.62K Mar 23, 2020 Common Stock 9.62K $9.36 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $7.93 Direct
holding BRFH Stock option 19.2K Mar 23, 2020 Common Stock 19.2K $8.97 Direct
holding BRFH O Warrants 2.05K Mar 23, 2020 Common Stock 2.05K $7.80 RD Capital Holdings Pty Ltd
holding BRFH M Warrants 56.3K Mar 23, 2020 Common Stock 56.3K $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.