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Kaival Brands (KAVL) CEO Eric Mosser awarded 3M RSAs and options

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Form Type
4

Rhea-AI Filing Summary

Kaival Brands Innovations Group CEO Eric Mosser received significant equity compensation grants. He was awarded a restricted stock award for 3,000,000 shares of common stock, with 600,000 shares vesting immediately and 2,400,000 vesting in 200,000-share installments each fiscal quarter over the next 12 quarters, subject to continued service.

He also received a non-qualified stock option to purchase 3,000,000 shares at an exercise price of $0.0152 per share, with 600,000 options vesting immediately and the remaining 2,400,000 vesting in equal quarterly installments over the next 12 quarters. In addition, he was granted a non-qualified stock option for 586,060 shares at $0.0152 per share, with 25% vesting immediately and 75% vesting in quarterly installments over the next three fiscal quarters, all under the Amended and Restated 2020 Stock and Incentive Compensation Plan.

Positive

  • None.

Negative

  • None.
Insider Mosser Eric
Role CEO
Type Security Shares Price Value
Grant/Award Stock Options (right to buy) 3,000,000 $0.00 --
Grant/Award Stock Options (right to buy) 586,060 $0.00 --
Grant/Award Common Stock 3,000,000 $0.00 --
Holdings After Transaction: Stock Options (right to buy) — 3,000,000 shares (Direct); Common Stock — 3,000,000 shares (Direct)
Footnotes (1)
  1. The reported transaction involved the Reporting Person's receipt of a restricted stock award for 3,000,000 shares of the Issuer's common Stock (the "RSA"). The RSA was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan. The RSA represents a contingent right to receive 3,000,000 shares of the Issuer's common stock. Of the 3,000,000 RSAs, 600,000 vests immediately and the remaining 2,400,000 vest in equal quarterly installments of 200,000 shares at the end of each fiscal quarter over the next 12 quarters, subject to continued service. The reported transaction involved the Reporting Person's receipt of a non-qualified stock option to purchase 3,000,000 shares of the Issuer's common stock. The option was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan. Of the 3,000,000 non-qualified stock options, 600,000 vest and became exercisable immediately and the remaining 2,400,000 shall vest and become exercisable in equal quarterly installments of 200,000 options at the end of each fiscal quarter over the next 12 quarters, subject to continued service. The reported transaction involved the Reporting Person's receipt of a non-qualified stock option to purchase 586,060 shares of the Issuer's common stock. The option was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan. Of the 586,060 non-qualified stock options, 25% vest and became exercisable immediately and the remaining 75% shall vest and become exercisable in quarterly installments over next three fiscal quarters, subject to continued service.
Restricted stock award 3,000,000 shares RSAs granted to CEO Eric Mosser on March 31, 2026
Immediate RSA vesting 600,000 shares Portion of 3,000,000 RSAs vesting immediately, balance over 12 quarters
Primary stock option grant 3,000,000 options Non-qualified options to buy common stock at $0.0152
Option exercise price $0.0152 per share Exercise price for both option grants
Additional option grant 586,060 options Non-qualified options with 25% immediate vesting
Immediate vesting on 3M options 600,000 options Portion of 3,000,000 options vesting immediately
Option expiration March 31, 2036 Expiration date for both non-qualified option grants
restricted stock award financial
"The reported transaction involved the Reporting Person's receipt of a restricted stock award for 3,000,000 shares"
A restricted stock award is company shares given to an employee or executive that cannot be sold or fully owned until certain conditions—like staying with the company for a set time or hitting performance targets—are met. Think of it as a gift that only becomes yours after you fulfill specific obligations; for investors, these awards matter because they can increase the total shares outstanding when they vest, reveal how management is being paid and motivated, and create potential selling pressure when restrictions lift.
non-qualified stock option financial
"The reported transaction involved the Reporting Person's receipt of a non-qualified stock option to purchase 3,000,000 shares"
A non-qualified stock option (NSO) is a contract that lets an employee or service provider buy company shares at a fixed price for a set period, like a voucher to purchase stock later at today’s price. It matters to investors because exercising NSOs creates ordinary income for the holder and can increase share count, affecting a company’s earnings and ownership mix; think of it as a future sale that can dilute existing shareholders and has immediate tax consequences for the recipient.
Amended and Restated 2020 Stock and Incentive Compensation Plan financial
"under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan"
vesting financial
"600,000 vest immediately and the remaining 2,400,000 vest in equal quarterly installments"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
exercise price financial
"conversion or exercise price 0.0152"
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Mosser Eric
(Last)(First)(Middle)
1317 EDGEWATER DR
SUITE 730
(Street)
ORLANDO FLORIDA 32949
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Kaival Brands Innovations Group, Inc. [ KAVL ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirectorX10% Owner
XOfficer (give title below)Other (specify below)
CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock03/31/2026A3,000,000(1)A$03,000,000D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options (right to buy)(2)$0.015203/31/2026A3,000,000 (3)03/31/2036Common Stock3,000,000$03,000,000D
Stock Options (right to buy)(4)$0.015203/31/2026A586,060 (5)03/31/2036Common Stock586,060$0586,060D
Explanation of Responses:
1. The reported transaction involved the Reporting Person's receipt of a restricted stock award for 3,000,000 shares of the Issuer's common Stock (the "RSA"). The RSA was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan. The RSA represents a contingent right to receive 3,000,000 shares of the Issuer's common stock. Of the 3,000,000 RSAs, 600,000 vests immediately and the remaining 2,400,000 vest in equal quarterly installments of 200,000 shares at the end of each fiscal quarter over the next 12 quarters, subject to continued service.
2. The reported transaction involved the Reporting Person's receipt of a non-qualified stock option to purchase 3,000,000 shares of the Issuer's common stock. The option was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan.
3. Of the 3,000,000 non-qualified stock options, 600,000 vest and became exercisable immediately and the remaining 2,400,000 shall vest and become exercisable in equal quarterly installments of 200,000 options at the end of each fiscal quarter over the next 12 quarters, subject to continued service.
4. The reported transaction involved the Reporting Person's receipt of a non-qualified stock option to purchase 586,060 shares of the Issuer's common stock. The option was granted pursuant to the applicable award agreement dated March 31, 2026, under the Issuer's Amended and Restated 2020 Stock and Incentive Compensation Plan.
5. Of the 586,060 non-qualified stock options, 25% vest and became exercisable immediately and the remaining 75% shall vest and become exercisable in quarterly installments over next three fiscal quarters, subject to continued service.
/s/ Eric Mosser04/07/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What equity awards did Kaival Brands (KAVL) CEO Eric Mosser receive?

Eric Mosser received a restricted stock award for 3,000,000 shares of common stock and two non-qualified stock option grants covering 3,000,000 and 586,060 shares, all issued under Kaival Brands’ Amended and Restated 2020 Stock and Incentive Compensation Plan.

How do the 3,000,000 Kaival Brands (KAVL) RSAs for Eric Mosser vest?

Of Eric Mosser’s 3,000,000 restricted stock awards, 600,000 shares vest immediately. The remaining 2,400,000 shares vest in equal quarterly installments of 200,000 shares at the end of each fiscal quarter over the next 12 quarters, subject to continued service.

What are the terms of Eric Mosser’s 3,000,000 Kaival Brands stock options?

Eric Mosser received a non-qualified stock option for 3,000,000 shares at an exercise price of $0.0152 per share. 600,000 options vest immediately, with the remaining 2,400,000 vesting in equal quarterly installments over the next 12 fiscal quarters, subject to continued service.

What are the vesting terms of the additional 586,060 Kaival Brands options?

Mosser also received a non-qualified stock option for 586,060 shares at $0.0152 per share. 25% of these options vest and become exercisable immediately, while the remaining 75% vest in quarterly installments over the next three fiscal quarters, subject to continued service.

Are Eric Mosser’s new Kaival Brands equity awards tied to a specific plan?

Yes. The restricted stock award for 3,000,000 shares and both non-qualified stock option grants for 3,000,000 and 586,060 shares were all granted under Kaival Brands’ Amended and Restated 2020 Stock and Incentive Compensation Plan according to the filing.