Once Upon a Farm insider reports IPO equity awards

Once Upon a Farm, PBC director and Chief Innovation Officer Cassandra Nicole Curtis reported IPO-related equity awards and a disposition of stock appreciation rights.

Rhea-AI Filing Summary

Once Upon a Farm, PBC director and Chief Innovation Officer Cassandra Nicole Curtis reported IPO-related equity awards and a disposition of stock appreciation rights. On February 9, 2026, she acquired 6,077 shares of common stock at $0, bringing her directly owned common shares to 425,612.

On the same date, 37,400 stock appreciation rights with a $19.58 exercise price were disposed of to the issuer and settled in cash, leaving 0 SARs outstanding. On February 5, 2026, she was granted 8,601 employee stock options at an $18 exercise price, which vest over four years tied to the initial public offering pricing date.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Curtis Cassandra Nicole

Role Chief Innovation 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 — 425,612 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 Cassandra Nicole Curtis report for Once Upon a Farm, PBC (OFRM)?

Cassandra Nicole Curtis reported IPO-linked equity changes, including a grant of 6,077 common shares and 8,601 stock options, plus the cash settlement and disposition of 37,400 stock appreciation rights. All positions are held directly and relate to Once Upon a Farm’s initial public offering events.

How many Once Upon a Farm (OFRM) common shares does Cassandra Nicole Curtis own after these Form 4 transactions?

After the reported transactions, Cassandra Nicole Curtis directly owns 425,612 shares of Once Upon a Farm common stock. This reflects the grant of 6,077 shares reported at a price of $0, in connection with the company’s initial public offering and related equity awards and vesting.

What happened to Cassandra Nicole Curtis’s stock appreciation rights at Once Upon a Farm (OFRM)?

She disposed of 37,400 stock appreciation rights to the issuer at an exercise price of $19.58, leaving zero SARs beneficially owned. According to the footnotes, these SARs fully vested at the IPO closing and were settled in cash based on the IPO price minus the exercise price.

What stock option grant did Cassandra Nicole Curtis receive from Once Upon a Farm (OFRM)?

She received 8,601 employee stock options with an $18 exercise price on February 5, 2026. The options were granted in connection with the IPO pricing and will vest 25% after one year, with the remaining 75% vesting annually in three equal installments, subject to continued service.

How do the restricted stock units for Cassandra Nicole Curtis at Once Upon a Farm (OFRM) vest?

Her restricted stock units vest 25% on the first anniversary of the IPO closing and 75% annually thereafter in three equal installments. Each installment requires her continued service with Once Upon a Farm through the applicable vesting date, aligning equity awards with long-term employment.

Are Cassandra Nicole Curtis’s Once Upon a Farm (OFRM) equity awards tied to the company’s IPO?

Yes. The restricted stock units were granted at the IPO closing, while stock appreciation rights fully vested and were cash-settled at that time. Stock options were granted at IPO pricing, with vesting schedules linked to the IPO closing or pricing anniversaries and ongoing service requirements.

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

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Accepted by SEC EDGAR 02/09/2026 - 08:24 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^*

Curtis Cassandra Nicole

(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
X	Officer (give title below)		Other (specify below)
	Chief Innovation 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	425,612	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.
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