BARFRESH FOOD GROUP INC. 10-K

Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities. Market Information Our common stock is currently traded on the Nasdaq’s Capital Market under the symbol “BRFH”. Our common stock had been quoted on the Nasdaq’s Capital Market since January 20, 2022. Prior to January 20, 2022, our common stock was quoted on the OTCQB. Effective December 29, 2021, we effected a 1-for-13 reverse stock split. The following table sets forth the range of high and low bid quotations for the applicable periods, as adjusted for the reverse stock split. These quotations as reported by the Nasdaq Capital Market reflect inter-dealer prices without retail mark-up, markdown or commissions and may not necessarily represent actual transactions. Bid Quotation Financial Quarter Ended High ($) Low ($) December 31, 2021 7.15 3.12 September 30, 2021 8.45 4.68 June 30, 2021 8.45 4.96 March 31, 2021 7.15 3.90 December 31, 2020 6.24 2.15 September 30, 2020 5.46 3.12 June 30, 2020 7.15 3.77 March 31, 2020 5.33 2.73 Holders On March 3, 2022, there were 12,917,246 shares of our common stock outstanding. Our shares of common stock are held by 102 stockholders of record. The number of record holders was determined from the records of our transfer agent and does not include beneficial owners of common stock whose shares are held in the names of various security brokers, dealers and registered clearing agencies. 14 Recent Sales of Unregistered Securities During the fourth quarter of 2021, we issued 7,922 shares of common stock as compensation to two of our directors, valued at $50,000. We relied upon the exemption from registration contained in Section 4(a)(2) of the Securities Act, as both the directors had the requisite sophistication and financial ability to bear risks of investing in our common stock and are highly knowledgeable about the Company, and there was no general solicitation and no commission or remuneration was paid in connection with the issuance. Purchases of Equity Securities by the Company There were no purchases of equity securities made by the Company in the period covered by this report. Securities Authorized for Issuance Under Equity Compensation Plans The following table provides information, as of December 31, 2021, with respect to equity securities authorized for issuance under our equity compensation plans: Plan Category Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights (a) Weighted-Average Exercise Price of Outstanding Options, Warrants and Rights (b) Number of Securities Remaining Available for Future Issuance Under Equity Compensation Plans (excluding securities reflected in Column (a))(c) Equity compensation plans approved by security holders 602,151 $ 7.48 435,750 Equity compensation plans not approved by security holders - $ - - TOTAL 602,151 $ 7.48 435,750 Transfer Agent Our transfer agent, Action Stock Transfer, is located at 2469 E. Fort Union Blvd, Suite 214, Salt Lake City, Utah 84121, and its telephone number is (801) 274-1088. Item 6. Selected Financial Data. Not applicable because we are a smaller reporting company.