SEC Form 4 · accession 0001437749-16-037231
Freshpet, Inc. · FRPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cathal Walsh
Officer — Senior VP of Cooler Operations
Period of report
Aug 9, 2016
Accepted (ET)
Aug 12, 2016 · 7:52 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001611647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 9, 2016 | M | 22,315 | $6.27 | A | 130,898 | D | |
| Common StockF1 | Aug 9, 2016 | S | 22,315 | $10.679 | D | 108,583 | D | |
| Common Stock | Aug 9, 2016 | M | 10,946 | $7.10 | A | 119,529 | D | |
| Common StockF2 | Aug 9, 2016 | S | 10,946 | $10.6765 | D | 108,583 | D | |
| Common Stock | Aug 9, 2016 | M | 4,378 | $7.10 | A | 112,961 | D | |
| Common Stock | Aug 9, 2016 | S | 4,378 | $10.80 | D | 108,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF3 | $6.27 | Aug 9, 2016 | M | 22,315 | D | — | Dec 4, 2016 | Common Stock | 22,315 | 0 | D |
| Option to Purchase Common StockF4 | $7.10 | Aug 9, 2016 | M | 10,946 | D | — | Dec 31, 2020 | Common Stock | 10,946 | 0 | D |
| Option to Purchase Common StockF4 | $7.10 | Aug 9, 2016 | M | 4,378 | D | — | Dec 31, 2020 | Common Stock | 4,378 | 6,568 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.45 to $10.8201. The reporting person undertakes to provide to Freshpet, Inc., any security holders of Freshpet, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set in this Form 4.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.45 to $10.82. The reporting person undertakes to provide to Freshpet, Inc., any security holders of Freshpet, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set in this Form 4.
- F3The option vests in five equal annual installments beginning October 31, 2007.
- F4The option vests in five equal annual installments beginning December 31, 2011.