OFRM CAO grants, options and SARs tied to IPO

Once Upon a Farm, PBC Chief Accounting Officer Chris Folena reported equity compensation changes tied to the company’s initial public offering.

Rhea-AI Filing Summary

Once Upon a Farm, PBC Chief Accounting Officer Chris Folena reported equity compensation changes tied to the company’s initial public offering. On 02/09/2026, Folena acquired 6,077 shares of common stock as a grant, held directly.

The filing also shows a disposition to the issuer of 37,400 stock appreciation rights on 02/09/2026, which fully vested and were settled in cash in connection with the IPO. On 02/05/2026, Folena received 8,601 employee stock options, which vest 25% on the first anniversary of the IPO pricing and 75% in three equal annual installments thereafter, subject to continued service.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Folena Chris

Role Chief Accounting Officer

Type	Security	Shares	Price	Value
Disposition	Stock Appreciation Rights	37,400	$0.00	$0.00
Grant/Award	Common Stock	6,077	$0.00	$0.00
Grant/Award	Employee Stock Options (right to buy)	8,601	$0.00	$0.00

Holdings After Transaction: Stock Appreciation Rights — 0 contracts (Direct); Employee Stock Options (right to buy) — 8,601 contracts (Direct); Common Stock — 6,077 shares (Direct)

Footnotes (3)

1. F1. In connection with the closing of the initial public offering of Once Upon a Farm, PBC (the "Issuer"), the reporting person was granted restricted stock units, which vest 25% on the first anniversary of the closing of the initial public offering and the remaining 75% annually thereafter in three equal installments, in each case, subject to the reporting person's continued service with the Issuer through such dates.
2. F2. In connection with the closing of the Issuer's initial public offering, each stock appreciation right ("SAR") held by the reporting person fully vested and was settled in cash in an amount equal to the product of (i) (A) the initial public offering price less (B) its exercise price, multiplied by (ii) the number of shares of common stock underlying the SAR.
3. F3. In connection with the pricing of the Issuer's initial public offering, the reporting person was granted stock options, which will vest 25% on the first anniversary of the pricing date of the initial public offering and the remaining 75% annually thereafter in three equal installments, in each case, subject to the reporting person's continued service with the Issuer through such dates.

FAQ

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

What insider transactions did OFRM Chief Accounting Officer Chris Folena report?

Chris Folena reported several IPO-related equity transactions, including a grant of 6,077 common shares, a grant of 8,601 employee stock options, and the cash-settled disposition of 37,400 stock appreciation rights back to Once Upon a Farm, PBC in early February 2026.

How many OFRM common shares did Chris Folena acquire in this Form 4 filing?

The filing shows Chris Folena acquired 6,077 shares of Once Upon a Farm, PBC common stock as a grant on February 9, 2026, with all shares held directly. These shares were granted in connection with the closing of the company’s initial public offering as restricted stock units.

What happened to Chris Folena’s stock appreciation rights in Once Upon a Farm, PBC?

All 37,400 stock appreciation rights held by Chris Folena fully vested at the IPO closing and were disposed of to the issuer. They were settled in cash based on the difference between the IPO price and the exercise price, multiplied by the underlying common shares.

What stock options did Chris Folena receive from Once Upon a Farm (OFRM)?

Chris Folena received 8,601 employee stock options on February 5, 2026. These options vest 25% on the first anniversary of the IPO pricing date and 75% in three equal annual installments thereafter, contingent on Folena’s continued service with Once Upon a Farm, PBC.

Are Chris Folena’s OFRM equity awards subject to vesting conditions?

Yes. Both the restricted stock units and the stock options vest over time. Each award vests 25% on the first anniversary of the relevant IPO milestone, with the remaining 75% vesting in three equal annual installments, conditioned on continued service with Once Upon a Farm, PBC.

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

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 02/09/2026 - 08:19 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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^*

Folena Chris

(Last) (First) (Middle)

C/O ONCE UPON A FARM, PBC

950 GILMAN STREET, SUITE 100

(Street)

BERKELEY CA 94710

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
02/05/2026

4. 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 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock(1)	02/09/2026		A		6,077	A	$0	6,077	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Appreciation Rights	$19.58	02/09/2026		D			37,400	(2)	(2)	Common Stock	37,400	(2)	0	D
Employee Stock Options (right to buy)(3)	$18	02/05/2026		A		8,601		(3)	02/05/2036	Common Stock	8,601	$0	8,601	D

Explanation of Responses:

1. In connection with the closing of the initial public offering of Once Upon a Farm, PBC (the "Issuer"), the reporting person was granted restricted stock units, which vest 25% on the first anniversary of the closing of the initial public offering and the remaining 75% annually thereafter in three equal installments, in each case, subject to the reporting person's continued service with the Issuer through such dates.

2. In connection with the closing of the Issuer's initial public offering, each stock appreciation right ("SAR") held by the reporting person fully vested and was settled in cash in an amount equal to the product of (i) (A) the initial public offering price less (B) its exercise price, multiplied by (ii) the number of shares of common stock underlying the SAR.

3. In connection with the pricing of the Issuer's initial public offering, the reporting person was granted stock options, which will vest 25% on the first anniversary of the pricing date of the initial public offering and the remaining 75% annually thereafter in three equal installments, in each case, subject to the reporting person's continued service with the Issuer through such dates.

	/s/ Genevieve Kelly, as Attorney-in-fact	02/09/2026
	** 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 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.