Once Upon a Farm PBC

02/09/2026 | Press release | Distributed by Public on 02/09/2026 19:37

Statement of Changes in Beneficial Ownership (Form 4)

FORM 4
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 that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Thomas Brett J.
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
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O ONCE UPON A FARM, PBC, 950 GILMAN STREET, SUITE 100
3. Date of Earliest Transaction (Month/Day/Year)
02/09/2026
(Street)
BERKELEY, CA 94710
4. If Amendment, Date 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
(City) (State) (Zip)
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 02/09/2026 C 7,411,502 A (1) 7,411,502 I By CAVU Venture Partners II L.P(2)(3)
Common Stock 02/09/2026 C 107,749 A (1) 646,478 I By TNG Investors LP(2)(3)
Common Stock 02/09/2026 C 2,274,219 A (1) 2,274,219 I By CAVU Venture Partners III L.P.(2)(3)
Common Stock(4) 02/09/2026 A 6,112 A $ 0 6,112 D(5)
Common Stock 731,396 I By CAVU Venture Partners IV L.P.(2)(3)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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 control number. SEC 1474 (9-02)
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 Underlying Securities
(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 of Derivative Security: 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
Series A-2 Preferred Stock (1) 02/09/2026 C 107,749 (1) (1) Common Stock 107,749 $ 0 0 I By TNG Investors LP(2)(3)
Series B-1 Preferred Stock (1) 02/09/2026 C 4,804,965 (1) (1) Common Stock 4,804,965 $ 0 0 I By CAVU Venture Partners II L.P.(2)(3)
Series B-2 Preferred Stock (1) 02/09/2026 C 914,243 (1) (1) Common Stock 914,243 $ 0 0 I By CAVU Venture Partners II L.P.(2)(3)
Series C-1 Preferred Stock (1) 02/09/2026 C 874,954 (1) (1) Common Stock 874,954 $ 0 0 I By CAVU Venture Partners II L.P.(2)(3)
Series D Preferred Stock (1) 02/09/2026 C 817,340 (1) (1) Common Stock 817,340 $ 0 0 I By CAVU Venture Partners II L.P.(2)(3)
Series D Preferred Stock (1) 02/09/2026 C 2,274,219 (1) (1) Common Stock 2,274,219 $ 0 0 I By CAVU Venture Partners III L.P.(2)(3)

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Thomas Brett J.
C/O ONCE UPON A FARM, PBC
950 GILMAN STREET, SUITE 100
BERKELEY, CA 94710
X

Signatures

/s/ Genevieve Kelly, as Attorney-in-fact 02/09/2026
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(1) The preferred stock automatically converted, for no additional consideration, into shares of common stock of Once Upon a Farm, PBC (the "Issuer"), as of the closing of the Issuer's initial public offering on February 9, 2026.
(2) CAVU Venture Partners GP II, LLC ("Fund II GP LLC") is the general partner of CAVU Venture Partners GP II, LP ("Fund II GP"), which is the general partner of CAVU Venture Partners II L.P. CAVU Venture Partners GP III, LLC ("Fund III GP LLC") is the general partner of CAVU Venture Partners GP III, LP ("Fund III GP"), which is the general partner of CAVU Venture Partners III L.P. CAVU Venture Partners GP IV, LLC ("Fund IV GP LLC") is the general partner of CAVU Venture Partners GP IV, LP ("Fund IV GP"), which is the general partner of CAVU Venture Partners IV L.P. and TNG Investors LP. The reporting person is a Manager of the Fund II GP LLC, Fund III GP LLC and Fund IV GP LLC. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") except to the extent of his pecuniary interest therein, if any.
(3) (Continued from footnote 2) This report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
(4) In connection with the closing of the initial public offering of the Issuer, the reporting person was granted restricted stock units, which vest fully on the earlier of the first anniversary of the closing of the initial public offering and the next annual meeting of stockholders, subject to the reporting person's continued service on the Issuer's Board of Directors through such date.
(5) The reporting person is contractually obligated to remit the proceeds of any sale of shares issued upon vesting of restricted stock units to CAVU Consumer Partners, LLC. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Exchange Act except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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