Lang Steven's Form 4 filing
Barfresh Food Group Inc. (BRFH) · filed Jul 6, 2021
- Accession no.
- 0001493152-21-016278
- Filed
- Jul 6, 2021
- Trade date
- Dec 19, 2016-May 26, 2021
- Filing delay
- 1,660 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 11 derivative transactions. It was filed 1660 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lang StevenCIK 0001598907 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 13, 2017 | Common Stock | JOtherAcquired | +138,596 | –F1 | – | 338,596 | Direct | |
| Dec 28, 2017 | Common Stock | PPurchaseAcquired | +17,623 | –F2 | – | 19,072,451 | Indirect | |
| Dec 28, 2018 | Common Stock | PPurchaseAcquired | +54,726 | –F2 | – | 19,127,177 | Indirect | |
| Mar 14, 2020 | Common Stock | JOtherAcquired | +60,000 | –F3 | – | 60,000 | Indirect | |
| Mar 23, 2020 | Common Stock | JOtherAcquired | +319,365 | –F4 | – | 379,365 | Indirect | |
| Sep 28, 2020 | Common Stock | JOtherAcquired | +136,871 | –F5 | – | 516,236 | Indirect | |
| May 26, 2021 | Common Stock | JOtherAcquired | +53,815 | –F3 | – | 570,051 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2016 | Common Stock | AGrant or awardAcquired | +166,667 | –F6 | – | 166,667 | Direct | |
| Jan 17, 2017 | Common Stock | AGrant or awardAcquired | +40,323 | –F6 | – | 40,323 | Direct | |
| Jan 16, 2018 | Common Stock | AGrant or awardAcquired | +64,744 | –F6 | – | 64,744 | Direct | |
| Jul 16, 2018 | Common Stock | AGrant or awardAcquired | +59,023 | –F6 | – | 59,023 | Direct | |
| Nov 30, 2018 | Common Stock | AGrant or awardAcquired | +80,645 | –F7 | – | 80,645 | Indirect | |
| Jan 16, 2019 | Common Stock | AGrant or awardAcquired | +53,711 | –F6 | – | 53,711 | Direct | |
| Jul 15, 2019 | Common Stock | AGrant or awardAcquired | +71,769 | –F6 | – | 71,769 | Direct | |
| Mar 23, 2020 | Common Stock | AGrant or awardAcquired | +159,683 | –F4 | – | 159,683 | Indirect | |
| Mar 23, 2020 | Common Stock | AGrant or awardAcquired | +180,000 | –F4 | – | 180,000 | Indirect | |
| Sep 28, 2020 | Common Stock | AGrant or awardAcquired | +68,436 | –F5 | – | 68,436 | Indirect | |
| Sep 28, 2020 | Common Stock | AGrant or awardAcquired | +77,143 | –F5 | – | 77,143 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Shares were issued as incentive compensation.
Referenced by the price of 1 transaction in Table I.
- F2
Shares were acquired through a cashless exercise of a warrant.
Referenced by the price of 2 transactions in Table I.
- F3
Shares were issued in lieu of interest on its M1 convertible note, valued according to the terms of the note at $0.60 per share.
Referenced by the price of 2 transactions in Table I.
- F4
On March 23, 2020, Hodumo received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion.
Referenced by the price of 1 transaction in Table I and 2 transactions in Table II.
- F5
On September 28, 2020, Hodumo received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.
Referenced by the price of 1 transaction in Table I and 2 transactions in Table II.
- F6
Stock option granted as non-employee director compensation.
Referenced by the price of 6 transactions in Table II.
- F7
Issued in connection with investment in note.
Referenced by the price of 1 transaction in Table II.