SEC Form 4 · accession 0001437749-18-015418
Freshpet, Inc. · FRPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Kassar
Officer — Chief Financial Officer
Period of report
Aug 9, 2018
Accepted (ET)
Aug 13, 2018 · 8:46 pm 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, 2018 | M | 3,237 | $15.00 | A | 203,231 | D | |
| common stock | Aug 9, 2018 | S | 3,237 | $33.50 | D | 199,994 | D | |
| common stock | Aug 9, 2018 | M | 11,763 | $9.05 | A | 211,757 | D | |
| common stock | Aug 9, 2018 | S | 11,763 | $33.50 | D | 199,994 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common stockF1 | $15.00 | Aug 9, 2018 | M | 3,237 | D | — | May 9, 2026 | Common Stock | 3,237 | 18,393 | D |
| Options to purchase common stockF2 | $9.05 | Aug 9, 2018 | M | 11,673 | D | — | Nov 7, 2024 | Common Stock | 11,763 | 11,764 | D |
Explanation of responses
- F1The options were issued pursuant to the Issuer's 2014 Omnibus Incentive Plan. The option vests in three equal annual installments beginning November 7, 2015.
- F2The options were issued pursuant to the Issuer's 2014 Omnibus Incentive Plan. Half of the options vest in three equal annual installments beginning May 9, 2017. The remaining options are subject to the satisfaction of certain performance goals over three years beginning May 9, 2017 and the reporting person's continued employment through the vesting date.