UNIBEL - 30 Nov 2018 Form 4 Insider Report for BARFRESH FOOD GROUP INC. (BRFH)

Role
10%+ Owner
Signature
Unibel, By: /s/ Bruno Schoch, Chairman of Management Board
Issuer symbol
BRFH
Transactions as of
30 Nov 2018
Transactions value $
$0
Form type
4
Filing time
19 Jul 2021, 12:06:21 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BRFH Common Stock Other +200K +1.28% 15.8M 10 Mar 2020 Direct F1
transaction BRFH Common Stock Other +1.44M +9.1% 17.3M 23 Mar 2020 Direct F2
transaction BRFH Common Stock Other +1.06M +6.17% 18.3M 23 Mar 2020 Direct F2
transaction BRFH Common Stock Other +1.07M +5.86% 19.4M 28 Sep 2020 Direct F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BRFH L Warrant Purchase +134K 134K 30 Nov 2018 Common Stock 134K Direct F4
transaction BRFH O Warrant Other +1.25M 1.25M 19 Mar 2020 Common Stock 1.25M $0.60 Direct F2
transaction BRFH Warrant M1/M2 Other +537K 537K 28 Sep 2020 Common Stock 537K $0.45 Direct F3
holding BRFH K Warrant 7.81M 30 Nov 2018 Common Stock 7.81M $0.88 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person received 200,000 shares of common stock in payment of interest on its M1 convertible note, valued according to the terms of the note at $0.60 per share.
F2 On March 19, 2020, the reporting person converted its $600,000 M1 convertible note and $400,000 M2 convertible note into common stock. The O Warrants were issued for participation in the conversion.
F3 On September 28, 2020, the reporting person received additional shares due to a price adjustment, as well as additional warrants.
F4 On November 30, 2018, the reporting person purchased a convertible note and warrants, convertible and exercisable at the greater of 120% of the Closing Price or $0.70.