Once Upon a Farm director granted 6,112 RSUs

Once Upon a Farm, PBC reported that director Dara Bazzano acquired 6,112 shares of common stock through a grant of restricted stock units in connection with the company’s initial public offering.

Accepted by SEC EDGAR 02/09/2026 - 08:20 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Once Upon a Farm, PBC reported that director Dara Bazzano acquired 6,112 shares of common stock through a grant of restricted stock units in connection with the company’s initial public offering. These units vest fully on the earlier of the first anniversary of the IPO closing or the next annual meeting of stockholders, provided Bazzano continues serving on the Board of Directors through that date.

Insider Trade Summary

Grant/Award: 6,112 shares

Grant/Award 1 txn

Insider Bazzano Dara

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	6,112	$0.00	$0.00

Holdings After Transaction: Common Stock — 6,112 shares (Direct)

Footnotes (1)

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 fully on the earlier of the first anniversary of the closing of the initial public offering and the next annual meeting of stockholders, subject to the reporting person's continued service on the Issuer's Board of Directors through such date.

FAQ

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

What insider transaction did Once Upon a Farm (OFRM) report for Dara Bazzano?

Once Upon a Farm reported that director Dara Bazzano received 6,112 shares of common stock via a restricted stock unit grant. The grant was made in connection with the company’s initial public offering and is recorded as a non-cash acquisition at $0.00 per share.

How many Once Upon a Farm (OFRM) shares does Dara Bazzano now beneficially own?

After the reported transaction, Dara Bazzano beneficially owns 6,112 shares of Once Upon a Farm common stock. These shares come from a restricted stock unit award tied to the company’s initial public offering and are currently held as direct ownership according to the filing.

What are the vesting terms of Dara Bazzano’s OFRM restricted stock units?

The restricted stock units granted to Dara Bazzano vest fully on the earlier of the first anniversary of the initial public offering closing or the next annual stockholder meeting. Vesting is conditioned on Bazzano’s continued service on Once Upon a Farm’s Board of Directors through that date.

Was Dara Bazzano’s Once Upon a Farm (OFRM) stock grant a purchase or an award?

The transaction was an award, not an open-market purchase. The Form 4 classifies it as a grant or other acquisition of 6,112 restricted stock units at a price of $0.00 per share, made in connection with Once Upon a Farm’s initial public offering.

What role does Dara Bazzano hold at Once Upon a Farm (OFRM)?

Dara Bazzano is identified as a director of Once Upon a Farm, PBC. The reported restricted stock unit grant is compensation linked to this Board role, with vesting dependent on continued Board service through the specified vesting date conditions in the award terms.

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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^*

Bazzano Dara

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/09/2026

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		6,112	A	$0.00	6,112	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

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 fully on the earlier of the first anniversary of the closing of the initial public offering and the next annual meeting of stockholders, subject to the reporting person's continued service on the Issuer's Board of Directors through such date.

	/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.