Once Upon a Farm CAO sells 662 shares for taxes

Once Upon a Farm’s chief accounting officer sold 662 shares mainly to cover tax withholding after RSU vesting, retaining 12,062 shares.

Available on EDGAR 09/16/2026 - 04:06 PM EDT Accepted by SEC EDGAR 09/16/2026 - 04:05 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Once Upon a Farm, PBC (OFRM) reported that Chief Accounting Officer Chris Folena sold 662 shares of common stock on September 14, 2026 at $16.98 per share. According to the company’s disclosure, the shares were sold to cover tax withholding obligations from vesting restricted stock units, and Folena now holds 12,062 shares directly. No Rule 10b5-1 trading plan is reported for this transaction.

Insider Trade Summary

Net Seller: 662 shares

Net Sell 1 txn

Insider Folena Chris

Role Chief Accounting Officer

Sold 662 shs ($11K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	662	$16.98	$11K

Holdings After Transaction: Common Stock — 12,062 shares (Direct)

Footnotes (1)

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

Key Figures

Shares sold: 662 shares Sale price per share: $16.98 per share Approximate transaction value: $11,243.76 +2 more

5 metrics

Shares sold 662 shares Common stock sold by Chief Accounting Officer on September 14, 2026

Sale price per share $16.98 per share Price for the 662 OFRM common shares sold

Approximate transaction value $11,243.76 662 shares sold at $16.98 per share

Shares held after transaction 12,062 shares Direct OFRM common stock holdings of Chris Folena after the sale

Shares sold for tax withholding 662 shares Sold to cover tax withholding obligations from RSU vesting

Key Terms

restricted stock units, tax withholding obligations, Rule 10b5-1, open market or private transaction

4 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

"No Rule 10b5-1 trading plan is reported for this transaction"

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.

open market or private transaction financial

"Sale in open market or private transaction"

FAQ

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

What insider transaction did OFRM report for Chief Accounting Officer Chris Folena?

OFRM reported that Chief Accounting Officer Chris Folena sold 662 shares of common stock on September 14, 2026 at $16.98 per share, with the sale made to cover tax withholding obligations from vesting restricted stock units.

How many OFRM shares does Chris Folena hold after the reported sale?

After the September 14, 2026 transaction, Chris Folena directly holds 12,062 OFRM shares, as disclosed in the insider ownership section of the filing.

What was the purpose of Chris Folena’s OFRM share sale?

The filing states that the 662 OFRM shares were sold to cover tax withholding obligations related to the vesting of restricted stock units, indicating the sale was tied to compensation-related tax requirements.

Was Chris Folena’s OFRM sale made under a Rule 10b5-1 trading plan?

No. The filing indicates that no Rule 10b5-1 trading plan is reported for this transaction, meaning it is not identified as being executed under a pre-arranged trading plan.

What price did Chris Folena receive per OFRM share in the sale?

The transaction reports a sale price of $16.98 per OFRM share for the 662 shares sold on September 14, 2026, in an open market or private transaction.

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 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 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)
	Chief Accounting Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/14/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/14/2026		S(1)		662	D	$16.98	12,062	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. Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units.

	/s/ Chris Folena	09/16/2026
	** 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)