Barfresh Food (BRFH)

Filed: 19 Jul 21, 12:06pm
SEC Form 4
Washington, D.C. 20549


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 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).
1. Name and Address of Reporting Person*

(Last) (First) (Middle)


(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of 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
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 03/10/2020 J 200,000 A (1) 15,825,000 D
Common Stock 03/23/2020 J 1,440,000 A (2) 17,265,000 D
Common Stock 03/23/2020 J 1,064,548 A (2) 18,329,548 D
Common Stock 09/28/2020 J 1,073,378 A (3) 19,402,926 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
L Warrant (4) 11/30/2018 P 134,409 11/30/2018 11/30/2021 Common Stock 134,409 (4) 134,409 D
O Warrant $0.6 03/19/2020 J 1,252,274 03/19/2020 03/19/2023 Common Stock 1,252,274 (2) 1,252,274 D
Warrant M1/M2 $0.45 09/28/2020 J 536,689 09/28/2020 03/23/2023 Common Stock 536,689 (3) 536,689 D
K Warrant $0.88 11/23/2016 11/23/2021 Common Stock 7,812,500 7,812,500 D
Explanation of Responses:
1. 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.
2. 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.
3. On September 28, 2020, the reporting person received additional shares due to a price adjustment, as well as additional warrants.
4. 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.
Unibel, By: /s/ Bruno Schoch, Chairman of Management Board 07/19/2021
** 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.