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  4. [Form 4] Once Upon a Farm, PBC Insider Trading Activity

Once Upon a Farm CFO sells 1,102 shares at $16.98

Once Upon a Farm’s CFO reported a small sale of shares to cover RSU tax withholding, retaining over one hundred thousand shares.

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Once Upon a Farm, PBC (OFRM) reported that President and Chief Financial Officer Lawrence Steven Waldman sold 1,102 shares of common stock on September 14, 2026 at $16.98 per share. According to the company, the shares were sold to cover tax withholding obligations from vesting restricted stock units, and Waldman now holds 100,574 shares directly.

Positive

  • None.

Negative

  • None.
Insider Waldman Lawrence Steven
Role See Remarks
Sold 1,102 shs ($19K)
Type Security Shares Price Value
Sale Common Stock F1 1,102 $16.98 $19K
Holdings After Transaction: Common Stock — 100,574 shares (Direct)
Footnotes (1)
  1. F1. Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units.
Shares sold 1,102 shares Common stock sale reported for September 14, 2026
Sale price per share $16.98 per share Price for the 1,102 shares of common stock sold
Shares held after transaction 100,574 shares Directly owned common stock following the sale
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
"The filing’s Rule 10b5-1 checkbox is not marked"
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

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

What insider transaction did OFRM report for its CFO on this Form 4?
The President and Chief Financial Officer, Lawrence Steven Waldman, reported a sale of 1,102 shares of Once Upon a Farm common stock on September 14, 2026 at $16.98 per share.

Why were the OFRM shares sold by the CFO in this Form 4?
The filing states the 1,102 shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units, indicating the transaction was related to equity compensation taxes.

How many OFRM shares does the CFO hold after this reported sale?
After the reported sale, Lawrence Steven Waldman beneficially owns 100,574 shares of Once Upon a Farm common stock in direct ownership, according to the Form 4 data.

What was the sale price per share in the OFRM insider transaction?
The Form 4 reports that the 1,102 shares of Once Upon a Farm common stock were sold at a price of $16.98 per share on September 14, 2026.

Was the OFRM CFO’s sale made under a Rule 10b5-1 trading plan?
The filing’s Rule 10b5-1 checkbox is not marked as having been made under a plan, and no footnote describes a trading plan for this transaction.

What type of security was involved in the OFRM Form 4 transaction?
The transaction involved Once Upon a Farm common stock, with 1,102 shares sold to satisfy tax withholding arising from vesting restricted stock units.

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

Form 4 Insider Transactions: What Each Field Means →
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SEC Form 4
FORM 4UNITED 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/14/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock09/14/2026S(1)1,102D$16.98100,574D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
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-Fact09/16/2026
** Signature of Reporting PersonDate
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

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