Once Upon a Farm, PBC SEC Filings

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.

Once Upon a Farm, PBC director Thomas Brett J. filed an initial ownership report showing indirect holdings in the company’s equity through several investment funds. Entities including CAVU Venture Partners funds and TNG Investors LP hold common and preferred stock that is convertible into common stock, which will automatically convert into common shares upon the closing of the company’s initial public offering. Brett disclaims beneficial ownership beyond any pecuniary interest.

Once Upon a Farm, PBC director files initial ownership report showing no holdings. Dara Bazzano, a director of Once Upon a Farm, PBC, filed an initial Form 3 reporting that no securities of the company are beneficially owned. The filing confirms this status as of the event date of 02/05/2026.

Once Upon a Farm, PBC Chief Executive Officer, Co-Founder and Chair John M. Foraker filed an initial statement of beneficial ownership, reporting common stock held both directly and through family trusts as of 02/05/2026. He indirectly owns common stock through the John & Beth Foraker Revocable Trust and several irrevocable trusts for Mary Kate, Patrick, Jack and Caroline Foraker, and directly holds 600,478 shares of common stock. He also has indirect holdings of multiple series of preferred stock, each convertible into common stock at his election and automatically converting into common stock upon the closing of the company’s initial public offering. In addition, he holds employee stock options for 540,654 shares at $4.12 expiring on 05/22/2033 and 286,895 shares at $8.75 expiring on 02/28/2035, which vest in 48 equal monthly installments starting in May 2023 and March 2025, respectively, subject to continued service.