Was the OFRM insider’s 1,206-share sale made under a Rule 10b5-1 plan?

The filing indicates the Rule 10b5-1 checkbox is not selected, so the 1,206-share sale was not reported as being made pursuant to a pre-arranged 10b5-1 trading plan for Lawrence Steven Waldman.

Once Upon a Farm (OFRM) CFO sells 1,206 shares to cover RSU tax

Q: What insider transaction did Once Upon a Farm (OFRM) report for Lawrence Steven Waldman?

Once Upon a Farm reported that Lawrence Steven Waldman sold 1,206 shares of Common Stock on 2026-08-10 at $18.01 per share , primarily to satisfy tax withholding obligations tied to vesting restricted stock units.

Q: Why did the OFRM executive sell 1,206 shares according to the Form 4 footnote?

The Form 4 footnote states the 1,206 shares were sold to cover tax withholding obligations connected with the vesting of restricted stock units , indicating the sale was a withholding-related transaction rather than a discretionary portfolio adjustment.

Q: What price was received for the OFRM shares sold by Lawrence Steven Waldman?

Lawrence Steven Waldman’s reported sale of 1,206 OFRM shares on 2026-08-10 was executed at a price of $18.01 per share , described as a sale in an open market or private transaction.

Filing Impact

(Neutral)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Once Upon a Farm, PBC executive Lawrence Steven Waldman, President and Chief Financial Officer, reported a sale of 1,206 shares of Common Stock on 2026-08-10 at $18.01 per share. According to the company’s disclosure, the shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units. Following this transaction, Waldman directly holds 101,676 shares of Common Stock. The transaction was not reported as being made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Net Seller: 1,206 shares

Net Sell 1 txn

Insider Waldman Lawrence Steven

Role See Remarks

Sold 1,206 shs ($22K)

Type	Security	Shares	Price	Value
Sale	Common Stock ^F1	1,206	$18.01	$22K

Holdings After Transaction: Common Stock — 101,676 shares (Direct)

Footnotes (1)

F1. Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units.

Key Figures

Shares sold: 1,206 shares Sale price: $18.01 per share Shares held after transaction: 101,676 shares

3 metrics

Shares sold 1,206 shares Common Stock sale on 2026-08-10

Sale price $18.01 per share Price for 1,206 shares of Common Stock sold

Shares held after transaction 101,676 shares Direct Common Stock holdings of Lawrence Steven Waldman after sale

Key Terms

restricted stock units, tax withholding obligations, Rule 10b5-1

3 terms

restricted stock units financial

"in connection with the vesting of restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholding obligations financial

"Shares sold to cover tax withholding obligations in connection"

Rule 10b5-1 regulatory

"aff_10b5_one false indicates no Rule 10b5-1 trading plan"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

What insider transaction did Once Upon a Farm (OFRM) report for Lawrence Steven Waldman?

Once Upon a Farm reported that Lawrence Steven Waldman sold 1,206 shares of Common Stock on 2026-08-10 at $18.01 per share, primarily to satisfy tax withholding obligations tied to vesting restricted stock units.

How many OFRM shares does Lawrence Steven Waldman hold after this Form 4 transaction?

After the reported transaction, Lawrence Steven Waldman directly holds 101,676 shares of Once Upon a Farm Common Stock. This figure reflects his position following the 1,206-share sale used to cover tax withholding obligations.

Why did the OFRM executive sell 1,206 shares according to the Form 4 footnote?

The Form 4 footnote states the 1,206 shares were sold to cover tax withholding obligations connected with the vesting of restricted stock units, indicating the sale was a withholding-related transaction rather than a discretionary portfolio adjustment.

What price was received for the OFRM shares sold by Lawrence Steven Waldman?

Lawrence Steven Waldman’s reported sale of 1,206 OFRM shares on 2026-08-10 was executed at a price of $18.01 per share, described as a sale in an open market or private transaction.

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/12/2026 - 07:21 PM Accepted by SEC EDGAR 08/12/2026 - 07:20 PM

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^*

Waldman Lawrence Steven

(Last)

(First)

(Middle)

C/O ONCE UPON A FARM, PBC

950 GILMAN STREET, SUITE 100

(Street)

BERKELEY

CALIFORNIA

94710

(City)

(State)

(Zip)

UNITED STATES

(Country)

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)
	See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026

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

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/10/2026		S⁽¹⁾		1,206	D	$18.01	101,676	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units.

Remarks:

President and Chief Financial Officer

	/s/ Chris Folena, as Attorney-in-Fact	08/12/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR