Once Upon a Farm director reports preferred holdings

Once Upon a Farm, PBC director Robb Walter IV reported his beneficial ownership of several series of preferred stock that are convertible into the company’s common stock.

Rhea-AI Filing Summary

Once Upon a Farm, PBC director Robb Walter IV reported his beneficial ownership of several series of preferred stock that are convertible into the company’s common stock.

His direct holdings include Series B-1, B-2, C-1 and D preferred stock, which are collectively convertible into 16,082, 101,354, 6,657 and 10,210 shares of common stock, respectively. The preferred stock has no expiration date and will automatically convert into common stock for no additional consideration upon the closing of the company’s initial public offering.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider ROBB WALTER E IV

Role Director

Type	Security	Shares	Price	Value
holding	Series B-1 Preferred Stock	--	--	--
holding	Series B-2 Preferred Stock	--	--	--
holding	Series C-1 Preferred Stock	--	--	--
holding	Series D Preferred Stock	--	--	--

Holdings After Transaction: Series B-1 Preferred Stock — 16,082 contracts (Direct); Series B-2 Preferred Stock — 101,354 contracts (Direct); Series C-1 Preferred Stock — 6,657 contracts (Direct); Series D Preferred Stock — 10,210 contracts (Direct)

Footnotes (1)

1. F1. The preferred stock of Once Upon a Farm, PBC (the "Issuer") has no expiration date and is convertible at the reporting person's election into the Issuer's common stock. As of the closing of the Issuer's initial public offering, the preferred stock will automatically convert, for no additional consideration, into common stock of the Issuer.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Once Upon a Farm (OFRM) Form 3 filing show?

The Form 3 shows director Robb Walter IV’s beneficial ownership of several preferred stock series in Once Upon a Farm, PBC. These preferred shares are convertible into common stock and will automatically convert upon the closing of the company’s initial public offering.

Which securities does Robb Walter IV report owning in Once Upon a Farm (OFRM)?

Robb Walter IV reports direct beneficial ownership of Series B-1, Series B-2, Series C-1 and Series D preferred stock of Once Upon a Farm, PBC. Each preferred series is currently convertible into a specified number of the company’s common shares under the stated terms.

How many common shares underlie the reported preferred stock of OFRM?

The reported preferred stock is convertible into 16,082 common shares for Series B-1, 101,354 for Series B-2, 6,657 for Series C-1 and 10,210 for Series D. These figures reflect the current conversion amounts disclosed for each preferred series.

Does the preferred stock in Once Upon a Farm (OFRM) have an expiration date?

The preferred stock has no expiration date according to the disclosure. It is convertible at the reporting person’s election into common stock and will also automatically convert into common stock for no additional consideration upon the closing of the company’s initial public offering.

What triggers automatic conversion of OFRM preferred stock into common stock?

Automatic conversion occurs upon the closing of Once Upon a Farm, PBC’s initial public offering. At that time, all reported preferred stock converts into common stock of the issuer for no additional consideration, according to the terms described in the footnote to the filing.

Is the Once Upon a Farm (OFRM) Form 3 a buy or sell transaction?

The Form 3 does not report a new buy or sell transaction; it reports existing beneficial ownership. It lists the director’s holdings in various preferred stock series and their common stock equivalents, as required when someone becomes subject to Section 16 reporting.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 02/05/2026 - 06:07 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

ROBB WALTER E IV

(Last) (First) (Middle)

C/O ONCE UPON A FARM, PBC

950 GILMAN STREET, SUITE 100

(Street)

BERKELEY CA 94710

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/05/2026

3. Issuer Name and Ticker or Trading Symbol
Once Upon a Farm, PBC [ OFRM ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series B-1 Preferred Stock	(1)	(1)	Common Stock	16,082	(1)	D
Series B-2 Preferred Stock	(1)	(1)	Common Stock	101,354	(1)	D
Series C-1 Preferred Stock	(1)	(1)	Common Stock	6,657	(1)	D
Series D Preferred Stock	(1)	(1)	Common Stock	10,210	(1)	D

Explanation of Responses:

1. The preferred stock of Once Upon a Farm, PBC (the "Issuer") has no expiration date and is convertible at the reporting person's election into the Issuer's common stock. As of the closing of the Issuer's initial public offering, the preferred stock will automatically convert, for no additional consideration, into common stock of the Issuer.

Remarks:

Exhibit List - Exhibit 24.1 - Power of Attorney

	/s/ Genevieve Kelly, as Attorney-in-fact	02/05/2026
	** Signature of Reporting Person	Date
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 5 (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.