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OFRM on NYSE

Once Upon a Farm, PBC

Once Upon a Farm, PBC is an American Food and Kindred Products company based in Berkeley.1 Its shares trade on NYSE under the symbol OFRM.1

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Last updated Oct 21, 2026.

Overview

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  • TickerOFRM on NYSE1
  • IndustryFood and Kindred Products1
  • HeadquartersBerkeley, California1
  • Incorporated inDE2
  • Business address2111 San Pablo Avenue, Suite 2216, Berkeley, Ca 947022
  • Filer categoryNon-accelerated filer, Emerging growth company2
  • Legal formOther

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Corporate structure

Once Upon a Farm, PBC sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of Once Upon a Farm, PBC

  • Once Upon a Farm, PBC Berkeley, California

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What Once Upon a Farm, PBC reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Properties, in its own words

We lease our principal executive offices, which are located at 950 Gilman Street, Suite 100, Berkeley, CA 94710. The Company is a remote-first company, meaning that our team members, including our executive officers, have the option of either working from our office space in Berkeley, California or telecommuting.

Item 2 of the 10-K filed Mar 16, 2026.5

Leadership

Who has led Once Upon a Farm, PBC, and when. Pick a name to see everywhere that person has worked.

Board members and other officers (10)

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • DirectorBrett Thomas named Mar 14, 202214
  • DirectorChuck Templeton named Mar 14, 202214
  • DirectorDebra Eschmeyer named Mar 14, 202214
  • DirectorJennifer Garner named Mar 14, 202214

Former names

  • Once Upon a Farm, LLCFeb 1, 2017 to Feb 24, 20202

Timeline

  1. Aug 6, 20268-K Results of operations15
  2. May 7, 20268-K Results of operations16
  3. May 6, 20268-K Entered a material agreement17
  4. May 6, 20268-K Executive or director change18
  5. Mar 12, 20268-K Results of operations19
  6. Feb 24, 20268-K Executive or director change20
  7. Feb 9, 20268-K Entered a material agreement; Change to shareholders' rights; Executive or director change21

Calendar

Coming up

  1. Nov 5, 2026Reports results for the quarter ending Sep/202622

When it reported results

  1. Aug 6, 2026Reported quarterly or annual results15
  2. May 7, 2026Reported quarterly or annual results16
  3. Mar 12, 2026Reported quarterly or annual results19

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

67 filings to the SEC since October 2021: 1 annual reports, 2 quarterly reports, 7 major events, 37 insider forms, 7 large holders, 1 private raises, 12 other. The latest 20:

  1. Sep 16, 20264 EDGAR
  2. Sep 16, 20264 EDGAR
  3. Sep 16, 20264 EDGAR
  4. Aug 12, 20264 EDGAR
  5. Aug 12, 20264 EDGAR
  6. Aug 12, 20264 EDGAR
  7. Aug 12, 2026SCHEDULE 13G/A EDGAR
  8. Aug 6, 202610-Q EDGAR
  9. Aug 6, 20268-K EDGAR
  10. Aug 6, 20264 EDGAR
  11. Jun 11, 2026SCHEDULE 13G EDGAR
  12. May 27, 2026SCHEDULE 13G EDGAR
  13. May 15, 2026SCHEDULE 13G EDGAR
  14. May 15, 2026SCHEDULE 13G EDGAR
  15. May 15, 2026SCHEDULE 13G EDGAR
  16. May 7, 202610-Q EDGAR
  17. May 7, 20268-K EDGAR
  18. May 6, 20268-K EDGAR
  19. May 6, 20268-K EDGAR
  20. May 6, 20264 EDGAR

The 67 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

7 open-market trades by officers, directors and large owners since October 2021: 1 buys and 6 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Sep 14, 2026Folena ChrisChief Accounting OfficerSale662$16.98$11.2KForm 4
Sep 14, 2026Curtis Cassandra NicoleChief Innovation OfficerSale68$16.98$1.2KForm 4
Sep 14, 2026Waldman Lawrence StevenSee RemarksSale1,102$16.98$18.7KForm 4
Aug 10, 2026Waldman Lawrence StevenSee RemarksSale1,206$18.01$21.7KForm 4
Aug 10, 2026Folena ChrisChief Accounting OfficerSale724$18.01$13.0KForm 4
Aug 10, 2026Curtis Cassandra NicoleChief Innovation OfficerSale75$18.01$1.4KForm 4
Feb 9, 2026ROBB WALTER E IVDirectorBuy5,555$18.00$100.0KForm 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Money raised

Private offerings the company reported to the SEC on Form D.

  1. Feb 28, 2022Raised $44 million in a private offering of securities Form D: $52.1 million offered in all Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 95. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Millennium Management LLC2,056,490$42.1M0.0%+756,031
Westwood Holdings Group Inc1,970,867$40.4M0.3%−49,875
Bamco Inc /ny/1,752,844$35.9M0.1%+2,986
Fmr LLC1,266,126$25.9M0.0%−20,074
Alliancebernstein L.P.1,557,280$25.5M0.0%+279,316
BlackRock, Inc.859,180$17.6M0.0%+595,571
Nicholas Investment Partners, LP784,166$16.1M1.0%+573,285
Massachusetts Financial Services Co /ma/717,588$14.7M0.0%−4,993
Federated Hermes, Inc.600,000$12.3M0.0%No change
Alyeska Investment Group, L.P.500,000$10.2M0.0%No change
Vanguard Capital Management LLC466,430$9.6M0.0%+9,531
Jupiter Topco LLC462,282$9.5M0.0%New
Hood River Capital Management LLC380,434$7.8M0.1%−37,697
12 West Capital Management LP365,000$7.5M1.4%No change
Nuveen, LLC335,622$6.9M0.0%New
UBS Group AG327,372$6.7M0.0%+38,506
Norges Bank325,000$6.7M0.0%New
Geode Capital Management, LLC302,536$6.2M0.0%+179,132
Next Century Growth Investors LLC296,084$6.1M0.3%+58,025
Silvercrest Asset Management Group LLC269,703$5.5M0.0%New
Legato Capital Management LLC170,852$3.5M0.3%+129,707
State Street Corp165,782$3.4M0.0%+122,782
State Of Wisconsin Investment Board152,332$3.1M0.0%+6,932
Emerald Mutual Fund Advisers Trust129,422$2.7M0.1%−82,825
Lazard Asset Management LLC125,394$2.6M0.0%−116,253

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How Once Upon a Farm, PBC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGAROnce Upon a Farm, PBC1
  • CIK0001696556
  • Employer ID (EIN)47-36482801
  • Filer statusNon-accelerated filer<br>emerging growth company1
  • Incorporated inDelaware1
  • Fiscal year endsDecember 311
  • Industry code (SIC)2000 Food and Kindred Products1
  • SEC reviewing officeOffice of Manufacturing, Division of Corporation Finance1
  • Business address2111 San Pablo Avenue, Suite 2216, Berkeley, CA 947021
  • Phone31069415901
  • Shares outstanding41,990,653 as of Jul 31, 20263
  • On EDGAR sinceFeb 1, 20171
  • Filings74 in all: 4 (24), 3 (13), 8-K (7), SCHEDULE 13G (6), D (5), D/A (3), 10-Q (2), DRS/A (2)1
    All 18 form types

    S-1/A (2), S-8 (2), 10-K (1), 424B4 (1), 8-A12B (1), CERT (1), DRS (1), EFFECT (1), S-1 (1), SCHEDULE 13G/A (1)

  • Latest filingsAnnual report (10-K) Mar 16, 2026
    Quarterly report (10-Q) Aug 6, 2026
    Latest 8-K (8-K) Aug 6, 2026

Risk factors and legal proceedings

The risks Once Upon a Farm, PBC names in Item 1A of its 10-K filed Mar 16, 2026: 63 risks under these headings, as written.5

  • Risks Relating to Our Business and Industry
  • If our products are contaminated, alleged to be contaminated or are rumored to have adverse effects, or if our products are alleged to cause illness or injury, be mislabeled, or misbranded or fail to comply with governmental regulations, we may suffer adverse public relations, need to recall our products and experience product liability claims.
  • The inputs, commodities, and ingredients that we require are subject to macroeconomic factors, government regulation, and other factors outside of our and our suppliers’ control, including, but not limited to, price increases, inflationary and interest rate pressures, tariffs, trade wars, product or agricultural industry labor shortages, livestock disease or pestilence, any of which could adversely affect our results of operations.
  • If we do not manage our supply chain effectively, including inventory levels and transportation services, our business, financial condition, and results of operations may be adversely affected.
  • Our future results of operations may be adversely affected by the availability of natural, plant-rich, and organic ingredients.
  • We are subject to cybersecurity risks and may incur increasing costs in an effort to minimize those risks, which efforts may or may not be effective. Security incidents may result in legal and financial exposure and reputational harm.
  • If our reputation or the reputation of our products, management team, or co-founders erodes significantly, it could have a material impact on our business.
  • Adverse weather conditions, natural disasters, pestilences, global or local pandemics, climate change, and other conditions beyond our control can disrupt our operations, which can adversely affect our business, financial condition, and results of operations.
  • If we fail to retain and motivate members of our management team or other key team members, including our co-founders, or fail to attract, train, develop, and retain additional qualified team members to support our operations, our business and future growth prospects may be harmed.
  • Our reliance on a limited number of independent contract manufacturers and suppliers, including co-packers, for certain equipment, ingredients, and packaging materials and processes could negatively impact our business, financial condition, results of operations, and cash flows.
  • The loss of a significant customer, certain actions or requirements by a significant customer, or financial difficulties of a significant customer could adversely affect our results of operations.
  • We could be adversely affected by a change in consumer preferences, perception, and spending habits in the natural food industry generally and with respect to kid and baby food products, in particular. Any failure to develop or enrich our product offerings or gain market acceptance of our new products could have a negative effect on our business.
The other 52 risks
  • We may not be able to successfully implement our growth strategy on a timely basis or at all.
  • Disruptions in the worldwide economy may adversely affect our business, financial condition, and results of operations.
  • We may not have the resources to compete successfully in our highly competitive markets.
  • Failure to introduce successful new products, successfully enter into new product categories, or successfully pursue growth by other means may adversely affect our ability to continue to grow.
  • Our finished goods inventory is located in a limited number of warehouse facilities. Any damage or disruption at any one facility would have an adverse effect on our business, financial condition, and results of operations.
  • Many of our customers are not obligated to continue purchasing products from us, and larger customers that have multiyear contracts with us may terminate these contracts early in certain situations or choose not to renew or extend these contracts at expiration.
  • If our growth strategy related to the deployment of coolers proves to be unsuccessful, or the operating capacity or reputation of such coolers is harmed, our business, financial condition, and results of operations may suffer.
  • Our net sales and earnings may fluctuate as a result of price actions, promotional activities, and chargebacks.
  • Our sales and profits are dependent upon our ability to expand existing customer relationships and acquire new customers.
  • We estimate market opportunity and forecast market growth that may prove to be inaccurate, and even if the market in which we compete achieves the forecasted growth, our business could fail to grow at similar rates, if at all.
  • We expect to need capital in the future for business development, and we may not be able to generate sufficient cash flow or raise capital on acceptable terms to meet our needs.
  • Our manufacturing capacity and expansion plans could have a material adverse effect on our business, financial condition, and results of operations.
  • A failure of our enterprise resource planning system or deficient information sharing capabilities could impact our ability to operate our business, and adversely affect our results of operations and financial condition.
  • Our operating results depend, in part, on the sufficiency and effectiveness of our marketing and trade spending programs.
  • If we fail to develop and maintain our brand, or the quality of our products that customers have come to expect, our business could suffer.
  • If we cannot maintain our Company culture or focus on our purpose as we grow, our business and competitive position may be harmed.
  • Fluctuations in our business due to changes in our promotional activities and seasonality may have an adverse impact on our financial condition, results of operations and cash flows.
  • We may not be able to successfully implement initiatives to improve productivity and streamline operations to control or reduce costs. Failure to implement such initiatives could adversely affect our results of operations.
  • We may be subject to significant liability that is not covered by insurance.
  • Mergers or other strategic transactions by competitors or retailers could weaken our competitive position and adversely affect our business.
  • Future offerings of debt securities, which would rank senior to our common stock upon our bankruptcy or liquidation, and future offerings of equity securities, which may be senior to our common stock for the purposes of dividend and liquidating distributions, may adversely affect the market price of our common stock.
  • Impairment charges for long-lived assets could adversely affect our financial condition and results of operations.
  • We have a history of losses, and we cannot be certain that we will achieve or sustain profitability.
  • If we expand our growth strategy and pursue acquisitions or other strategic transactions, we may not be able to successfully consummate favorable transactions or successfully integrate acquired businesses.
  • Risks Relating to Litigation and Regulation
  • We are subject to significant governmental regulation and failure to comply with such regulations may have a material adverse effect on our business, financial condition, and results of operations.
  • Failure by our network of farms, suppliers of raw materials, co-packers, or co-manufacturers to comply with food safety, environmental or other laws and regulations, or with the specifications and requirements of our products, may disrupt our supply of products and adversely affect our business.
  • Changes in existing laws or regulations, or the adoption of new laws or regulations, may increase our costs and otherwise adversely affect our business, financial condition, and results of operations.
  • From time to time, we may be subject to litigation, government investigations, or governmental proceedings, which may adversely impact our results of operations and financial condition.
  • Risks Relating to Intellectual Property and Information Technology
  • We may be unable to adequately protect our intellectual property rights, which could harm our business, financial condition, and results of operations.
  • Our business operations could be disrupted, and our business, reputation, financial condition, and results of operations could be harmed, if our information technology systems (or those of our third-party service providers), including artificial intelligence technologies, fail to perform adequately and accurately, or if we are unable to integrate new information technology systems to maintain and grow our competitive position.
  • Risks Relating to Tax
  • Changes in tax laws may impact our future financial position and results of operation.
  • Our ability to use net operating losses and other tax attributes to offset future taxable income may be subject to certain limitations.
  • Risks Relating to Our Indebtedness
  • Our indebtedness could materially adversely affect our financial condition.
  • We may not be able to generate sufficient cash to service all of our indebtedness and may be forced to take other actions to satisfy our obligations under our indebtedness, which may not be successful.
  • Our variable rate indebtedness subjects us to interest rate risk, which could cause our debt service obligations to increase significantly.
  • A lowering or withdrawal of the ratings assigned to our debt by rating agencies may increase our future borrowing costs and reduce our access to capital.
  • Risks Relating to Our Status as a Public Benefit Corporation
  • Our status as a public benefit corporation may not result in the benefits that we anticipate.
  • As a public benefit corporation, our focus on a specific public benefit purpose and producing a positive effect for society may negatively impact our financial performance.
  • Our directors have a fiduciary duty to consider not only our stockholders’ interests, but also our specific public benefit and the interests of other stakeholders affected by our conduct. If a conflict between such interests arises, there is no guarantee such a conflict would be resolved in favor of our stockholders.
  • As a public benefit corporation, our duty to balance a variety of interests may result in actions that do not maximize stockholder value.
  • As a public benefit corporation, we may be subject to increased derivative litigation concerning our duty to balance stockholder and public benefit interests, the occurrence of which may have an adverse impact on our financial condition and results of operations.
  • Risks Relating to Ownership of Our Common Stock
  • The market price of our common stock may be volatile or may decline steeply or suddenly regardless of our operating performance. You may not be able to resell any shares of our common stock that you may own at or above the price at which you purchased them and may lose all or part of your investment.
  • An active trading market for our common stock may not be sustained.
  • Future sales of our common stock and other actions by existing stockholders could cause our stock price to decline.
  • We currently do not intend to pay dividends on our common stock, and our indebtedness could limit our ability to pay dividends on our common stock.
  • If securities or industry analysts either do not publish research about us or publish inaccurate or unfavorable research about us, our business, or our market, if they adversely change their recommendations regarding our common stock, or if our operating results do not meet their expectations or any financial guidance we may provide, the trading price or trading volume of our common stock could decline.
  • Future issuances of our common stock could result in significant dilution to our stockholders, dilute the voting power of our common stock, and depress the market price of our common stock.
  • We incur increased costs and devote substantial management time as a result of operating as a public company.
  • We are an “emerging growth company” and will be able to avail ourselves of reduced disclosure requirements applicable to emerging growth companies, which could make our common stock less attractive to investors.
  • Risks Relating to Our Organizational Structure
  • Provisions in our certificate of incorporation and bylaws could make a merger, tender offer, or proxy contest difficult, thereby depressing the trading price of our common stock.
  • Our certificate of incorporation will designate the Court of Chancery of the State of Delaware as the exclusive forum for certain litigation that may be initiated by our stockholders and the federal district courts of the United States as the exclusive forum for litigation arising under the Securities Act, which could limit our stockholders’ ability to obtain a favorable judicial forum for disputes with us.
  • Our certificate of incorporation will contain a provision renouncing our interest and expectancy in certain corporate opportunities.

Legal proceedings

For information regarding our legal proceedings, refer to Note 7 of our Financial Statements in Item 8 of Part II of this Annual Report on Form 10-K.

The opening of Item 3, Legal Proceedings.5

Sources

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