SEC Form 4 · accession 0001437749-17-019399
Freshpet, Inc. · FRPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott James Morris
Officer — President and COO
Period of report
Nov 10, 2017
Accepted (ET)
Nov 14, 2017 · 5:50 pm EST
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 | Nov 10, 2017 | M | 10,000 | $7.10 | A | 212,307 | D | |
| Common Stock | Nov 10, 2017 | S | 10,000 | $17.20 | D | 202,307 | D | |
| Common Stock | Nov 13, 2017 | M | 312 | $7.10 | A | 202,619 | D | |
| Common Stock | Nov 13, 2017 | S | 312 | $17.35 | D | 202,307 | D | |
| Common Stock | Nov 14, 2017 | M | 2,031 | $7.10 | A | 204,338 | D | |
| Common Stock | Nov 14, 2017 | S | 2,031 | $17.35 | D | 202,307 | D | |
| Common Stock | Nov 14, 2017 | M | 1,907 | $7.10 | A | 204,214 | D | |
| Common Stock | Nov 14, 2017 | S | 1,907 | $17.35 | D | 202,307 | D | |
| Common Stock | Nov 17, 2017 | M | 4,031 | $7.10 | A | 206,338 | D | |
| Common Stock | Nov 14, 2017 | S | 4,031 | $17.30 | D | 202,307 | D | |
| Common Stock | Nov 14, 2017 | M | 1,719 | $7.10 | A | 204,026 | D | |
| Common Stock | Nov 14, 2017 | S | 1,719 | $17.30 | D | 202,307 | 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 stockF1 | $7.10 | Nov 10, 2017 | M | 10,000 | A | — | Dec 31, 2020 | Common Stock | 10,000 | 9,273 | D |
| Option to purchase common stockF2 | $7.10 | Nov 13, 2017 | M | 312 | A | — | Dec 31, 2020 | Common Stock | 312 | 6,062 | D |
| Option to purchase common stockF2 | $7.10 | Nov 14, 2017 | M | 2,031 | A | — | Dec 31, 2020 | Common Stock | 2,031 | 4,031 | D |
| Option to purchase common stockF1 | $7.10 | Nov 14, 2017 | M | 1,907 | A | — | Dec 31, 2020 | Common Stock | 1,907 | 7,366 | D |
| Option to purchase common stockF2 | $7.10 | Nov 14, 2017 | M | 4,031 | A | — | Dec 31, 2020 | Common Stock | 4,031 | 0 | D |
| Option to purchase common stockF1 | $7.10 | Nov 14, 2017 | M | 1,719 | A | — | Dec 31, 2020 | Common Stock | 1,719 | 5,647 | D |
Explanation of responses
- F1The options were issued pursuant to the Issuer's 2010 Stock Option Plan, as amended. 40% of the options vest on November 7, 2015 and 60% of the options vest on November 7, 2016.
- F2The option vests in four equal annual installments beginning December 31, 2011.