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Once Upon a Farm, PBC completed an underwritten initial public offering of its common stock at a public price of $18.00 per share. The company sold 7,631,537 shares, while selling stockholders sold an additional 3,365,672 shares to the underwriters.
The underwriters received a 30‑day option to buy up to 1,649,581 additional shares. In connection with the IPO, the company appointed Walter Robb to its board, adopted a new omnibus incentive plan and employee stock purchase plan, implemented an amended and restated certificate of incorporation and bylaws, and entered into customary underwriting, registration rights, director nomination, and indemnification agreements.
CAVU-affiliated investment funds and TNG Investors LP reported their status as 10% owners of Once Upon a Farm, PBC. The filing lists indirect holdings of 731,396 shares of common stock by CAVU Venture Partners IV L.P. and 538,729 shares of common stock by TNG Investors LP.
The funds also report indirect holdings of preferred stock series that are convertible into common stock, including 107,749 shares underlying Series A-2, 4,804,965 underlying Series B-1, 914,243 underlying Series B-2, 874,954 underlying Series C-1, and two Series D positions of 817,340 and 2,274,219 shares. The preferred stock has no expiration date and will automatically convert into common stock upon the closing of the company’s initial public offering.
Once Upon a Farm, PBC director Robb Walter IV reported his beneficial ownership of several series of preferred stock that are convertible into the company’s common stock.
His direct holdings include Series B-1, B-2, C-1 and D preferred stock, which are collectively convertible into 16,082, 101,354, 6,657 and 10,210 shares of common stock, respectively. The preferred stock has no expiration date and will automatically convert into common stock for no additional consideration upon the closing of the company’s initial public offering.
Once Upon a Farm, PBC director Larry Peiros reported his initial ownership in the company. He directly holds 63,393 shares of common stock and employee stock options for 6,937 shares at an exercise price of $1.45 per share. Additional indirect holdings include preferred stock convertible into common stock held by the Peiros Family Trust.
Once Upon a Farm, PBC director Jennifer Anne Garner filed an initial ownership report showing she beneficially owns 1,549,501 shares of common stock directly. She also holds Series A-1, B-1 and B-2 preferred stock that is convertible into common stock at her election and will automatically convert into common stock upon the closing of the company’s initial public offering, for no additional consideration.
In addition, Series C-1 and Series D preferred stock convertible into common stock are held indirectly by the Jennifer Garner Trust. She also holds several grants of employee stock options under the Once Upon a Farm, PBC 2021 Omnibus Incentive Plan, covering common stock at exercise prices of $1.45, $3.85 and $7.23, with certain options vesting and becoming exercisable immediately prior to the company’s initial public offering.
Once Upon a Farm, PBC officer Waldman Lawrence Steven, who serves as President and Chief Financial Officer, filed an initial ownership report detailing his equity-based compensation. The filing shows 93,500 stock appreciation rights tied to common stock, which will be settled in cash upon the closing of the company’s initial public offering. It also lists multiple employee stock option grants under the 2021 Omnibus Incentive Plan, including awards exercisable at $1.45, $3.85, $4.12 and $8.75 per share, with vesting schedules that require continued service over several years.
Megan Reimers Bent, a director of Once Upon a Farm, PBC, has filed an initial ownership report showing holdings of the company’s preferred stock. She beneficially owns 16,493 shares of Series C-1 Preferred Stock and 29,546 shares of Series C-2 Preferred Stock, all held directly.
The preferred stock has no expiration date and is convertible at her election into common stock of Once Upon a Farm. As of the closing of the company’s initial public offering, this preferred stock will automatically convert, for no additional consideration, into common stock of the issuer.
Once Upon a Farm, PBC director Jared Noah Jacobs reported indirect pre‑IPO equity holdings through investment funds managed by CAVU affiliates. The filing lists indirect common stock ownership of 731,396 shares by CAVU Venture Partners IV L.P. and 538,729 shares by TNG Investors LP.
The report also discloses several preferred stock series held indirectly through CAVU Venture Partners II L.P., CAVU Venture Partners III L.P., and TNG Investors LP, all convertible into common stock. The preferred stock has no expiration date and will automatically convert into common stock for no additional consideration at the closing of the company’s initial public offering. Jacobs is a partner at CAVU Consumer Partners LLC and disclaims beneficial ownership except to the extent of any pecuniary interest.
Once Upon a Farm, PBC Chief Accounting Officer Chris Folena filed an initial ownership report showing equity-based awards rather than share purchases or sales. The filing lists employee stock options for 248,859 common shares at an exercise price of $3.85, 37,400 shares at $4.12, and 32,725 shares at $8.75, all held directly. These options vest over time, with portions having started vesting in 2023 and 2024 and additional tranches vesting monthly beginning March 1, 2025, subject to continued service. Folena also holds stock appreciation rights tied to 37,400 common shares with a base price of $19.58, which will be settled in cash upon the closing of the company’s initial public offering.
Once Upon a Farm, PBC director and Chief Innovation Officer Cassandra Nicole Curtis filed an initial statement of beneficial ownership. She directly holds 419,535 shares of Common Stock and several grants of employee stock options to buy additional common shares at exercise prices ranging from $1.45 to $8.75 per share, with vesting schedules tied to continued service. She also holds stock appreciation rights covering 37,400 shares at $19.58 per share that, as of the closing of the company’s initial public offering, will be settled in cash.