Once Upon a Farm exec reports share holdings

Q: How many Once Upon a Farm (OFRM) common shares does Cassandra Nicole Curtis own?

Cassandra Nicole Curtis directly owns 419,535 shares of Common Stock of Once Upon a Farm, PBC. This number reflects her beneficial ownership at the time of the filing and forms the equity base she holds as a director and Chief Innovation Officer.

Q: What is disclosed about stock appreciation rights in the Once Upon a Farm (OFRM) filing?

The Form 3 lists stock appreciation rights tied to 37,400 shares at an exercise price of $19.58. It states that, as of the closing of Once Upon a Farm, PBC’s initial public offering, each such stock appreciation right held by her will be settled in cash.

Once Upon a Farm, PBC director and Chief Innovation Officer Cassandra Nicole Curtis filed an initial statement of beneficial ownership.

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Form Type

Rhea-AI Filing Summary

Once Upon a Farm, PBC director and Chief Innovation Officer Cassandra Nicole Curtis filed an initial statement of beneficial ownership. She directly holds 419,535 shares of Common Stock and several grants of employee stock options to buy additional common shares at exercise prices ranging from $1.45 to $8.75 per share, with vesting schedules tied to continued service. She also holds stock appreciation rights covering 37,400 shares at $19.58 per share that, as of the closing of the company’s initial public offering, will be settled in cash.

Insider Trade Summary

8 transactions reported

Mixed 8 txns

Insider Curtis Cassandra Nicole

Role Chief Innovation Officer

Type	Security	Shares	Price	Value
holding	Employee Stock Options (right to buy)	--	--	--
holding	Employee Stock Options (right to buy)	--	--	--
holding	Employee Stock Options (right to buy)	--	--	--
holding	Employee Stock Options (right to buy)	--	--	--
holding	Employee Stock Options (right to buy)	--	--	--
holding	Employee Stock Options (right to buy)	--	--	--
holding	Stock Appreciation Rights	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Options (right to buy) — 170,487 contracts (Direct); Stock Appreciation Rights — 37,400 contracts (Direct); Common Stock — 419,535 shares (Direct)

Footnotes (5)

F1. Represents stock options granted pursuant to the Once Upon a Farm, PBC 2021 Omnibus Incentive Plan.
F2. 25% of stock options vested and became exercisable on May 19, 2023, and the remainder in 36 equal monthly installments thereafter, subject to the reporting person's continued service with the Issuer on each such date.
F3. 25% of stock options vested and became exercisable on May 23, 2024, and the remainder in 36 equal monthly installments thereafter, subject to the reporting person's continued service with the Issuer on each such date.
F4. Stock options vest and become exercisable in 48 equal monthly installments beginning on March 1, 2025, subject to the reporting person's continued service with the Issuer on each such date.
F5. As of the closing of the initial public offering of Once Upon a Farm, PBC (the "Issuer"), each stock appreciation right of the Issuer held by the reporting person, will be settled in cash.

FAQ

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

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

The Form 3 shows Cassandra Nicole Curtis’s initial beneficial ownership in Once Upon a Farm, PBC. It lists her direct common stock holdings, multiple employee stock option grants, and stock appreciation rights, along with exercise prices and vesting terms tied to continued service.

How many Once Upon a Farm (OFRM) common shares does Cassandra Nicole Curtis own?

Cassandra Nicole Curtis directly owns 419,535 shares of Common Stock of Once Upon a Farm, PBC. This number reflects her beneficial ownership at the time of the filing and forms the equity base she holds as a director and Chief Innovation Officer.

What stock options are reported in the Once Upon a Farm (OFRM) Form 3?

The filing reports several employee stock options to buy common stock, including grants for 20,831, 14,081, and 18,700 shares at $1.45, plus larger grants at $3.85, $4.12, and $8.75, each with specified vesting schedules.

How do the vesting terms work for Cassandra Nicole Curtis’s OFRM options?

Some options vested 25% on specific dates, with the remaining 75% vesting in 36 equal monthly installments, while another grant vests in 48 equal monthly installments. All vesting requires her continued service with Once Upon a Farm, PBC on each vesting date.

What is disclosed about stock appreciation rights in the Once Upon a Farm (OFRM) filing?

The Form 3 lists stock appreciation rights tied to 37,400 shares at an exercise price of $19.58. It states that, as of the closing of Once Upon a Farm, PBC’s initial public offering, each such stock appreciation right held by her will be settled in cash.

Are the OFRM equity awards under a specific incentive plan?

Yes. The filing explains that the stock options were granted under the Once Upon a Farm, PBC 2021 Omnibus Incentive Plan. This plan governs the terms of the options, including their vesting conditions and exercisability for the company’s common stock.

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

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Accepted by SEC EDGAR 02/05/2026 - 05:58 PM

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^*

Curtis Cassandra Nicole

(Last)

(First)

(Middle)

C/O ONCE UPON A FARM, PBC

950 GILMAN STREET, SUITE 100

(Street)

BERKELEY

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
X	Officer (give title below)	Other (specify below)
	Chief Innovation Officer

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)
Common Stock	419,535	D

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Employee Stock Options (right to buy)⁽¹⁾	03/15/2023	03/15/2031	Common Stock	20,831	$1.45	D
Employee Stock Options (right to buy)⁽¹⁾	03/15/2024	03/15/2031	Common Stock	14,081	$1.45	D
Employee Stock Options (right to buy)⁽¹⁾	05/12/2025	05/12/2031	Common Stock	18,700	$1.45	D
Employee Stock Options (right to buy)⁽¹⁾	⁽²⁾	05/18/2032	Common Stock	46,750	$3.85	D
Employee Stock Options (right to buy)⁽¹⁾	⁽³⁾	05/22/2033	Common Stock	37,400	$4.12	D
Employee Stock Options (right to buy)⁽¹⁾	⁽⁴⁾	02/28/2035	Common Stock	32,725	$8.75	D
Stock Appreciation Rights⁽⁵⁾	⁽⁵⁾	⁽⁵⁾	Common Stock	37,400	$19.58	D

Explanation of Responses:

1. Represents stock options granted pursuant to the Once Upon a Farm, PBC 2021 Omnibus Incentive Plan.

2. 25% of stock options vested and became exercisable on May 19, 2023, and the remainder in 36 equal monthly installments thereafter, subject to the reporting person's continued service with the Issuer on each such date.

3. 25% of stock options vested and became exercisable on May 23, 2024, and the remainder in 36 equal monthly installments thereafter, subject to the reporting person's continued service with the Issuer on each such date.

4. Stock options vest and become exercisable in 48 equal monthly installments beginning on March 1, 2025, subject to the reporting person's continued service with the Issuer on each such date.

5. As of the closing of the initial public offering of Once Upon a Farm, PBC (the "Issuer"), each stock appreciation right of the Issuer held by the reporting person, will be settled in cash.

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.

Source: View Original Filing on SEC EDGAR