Unibel's Form 4 filing
Barfresh Food Group Inc. (BRFH) · filed Jul 19, 2021
- Accession no.
- 0001493152-21-017155
- Filed
- Jul 19, 2021
- Trade date
- Nov 30, 2018-Sep 28, 2020
- Filing delay
- 962 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. It was filed 962 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 |
|---|---|
| UnibelCIK 0001240037 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 10, 2020 | Common Stock | JOtherAcquired | +200,000 | –F1 | – | 15,825,000 | Direct | |
| Mar 23, 2020 | Common Stock | JOtherAcquired | +1,440,000 | –F2 | – | 17,265,000 | Direct | |
| Mar 23, 2020 | Common Stock | JOtherAcquired | +1,064,548 | –F2 | – | 18,329,548 | Direct | |
| Sep 28, 2020 | Common Stock | JOtherAcquired | +1,073,378 | –F3 | – | 19,402,926 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2018 | Common Stock | PPurchaseAcquired | +134,409 | –F4 | – | 134,409 | Direct | |
| Mar 19, 2020 | Common Stock | JOtherAcquired | +1,252,274 | –F2 | – | 1,252,274 | Direct | |
| Sep 28, 2020 | Common Stock | JOtherAcquired | +536,689 | –F3 | – | 536,689 | Direct |
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
The reporting person received 200,000 shares of common stock in payment 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 1 transaction in Table I.
- F2
On March 19, 2020, the reporting person converted its $600,000 M1 convertible note and $400,000 M2 convertible note into common stock. The O Warrants were issued for participation in the conversion.
Referenced by the price of 2 transactions in Table I and 1 transaction in Table II.
- F3
On September 28, 2020, the reporting person received additional shares due to a price adjustment, as well as additional warrants.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F4
On November 30, 2018, the reporting person purchased a convertible note and warrants, convertible and exercisable at the greater of 120% of the Closing Price or $0.70.
Referenced by the price of 1 transaction in Table II.