SEC Form 4/A · accession 0001638397-15-000033
Freshpet, Inc. · FRPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard A Kayne
10% Owner
Period of report
Nov 5, 2015
Accepted (ET)
Nov 9, 2015 · 5:41 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 StockF2 | Nov 5, 2015 | J | 1,101,320 | $0.00 | D | 2,229,771 | I | See Footnote 2 |
| Common Stock | Nov 5, 2015 | J | 185,831 | $0.00 | A | 495,395 | I | By Richard and Suzanne Kayne Living Trust u/t/d 1/14/99 |
| Common StockF4 | Nov 5, 2015 | J | 11,193 | $0.00 | A | 45,269 | I | See Footnote 4 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Distribution made to investors of Freshpet Investors, LLC ("FPI") pursuant to the Selldown Agreement entered into between FPI and the Company in connection with the initial public offering.
- F2Such shares are owned by FPI. Kayne Anderson Capital Advisors, LP ("KACALP") is a managing member of FPI and shares voting and investment management power over such shares held by FPI. Richard Kayne is the majority owner and chairman of KACALP. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by FPI except to the extent of his pecuniary interest therein.
- F3In-kind distribution which represents the Reporting Person's pecuniary interest in the distribution from FPI.
- F4In-kind distribution to KACALP as managing member of FPI. The Reporting Person is the majority owner and Chairman of KACALP and may be deemed to beneficially own the shares held by KACALP. The Reporting Person disclaims beneficial ownership of the securities held by KACALP, except to the extent of his pecuniary interest therein.