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Freshpet, Inc. — Director's Dealing 2014
Nov 18, 2014
31497_dirs_2014-11-17_4359808a-8911-4552-97cd-2709b72113da.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Freshpet, Inc. (FRPT)
CIK: 0001611647
Period of Report: 2014-11-13
Reporting Person: Morris Scott James (Chief Marketing Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-13 | Common Stock | C | 3521 | $7.10 | Acquired | 248111 | Direct |
| 2014-11-13 | Common Stock | C | 22540 | $7.10 | Acquired | 22540 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-13 | Series C Preferred Stock | $7.10 | C | 4762 | Disposed | Common Stock (3521) | Direct | |
| 2014-11-13 | Series C Preferred Stock | $7.10 | C | 30476 | Disposed | Common Stock (22540) | Indirect |
Footnotes
F1: The Reporting Person beneficially owns these shares through Morris Mutts LLC. The Reporting Person disclaims beneficial ownership of such shares held or controlled by Morris Mutts LLC except to the extent of his pecuniary interest therein.
F2: The Series C Preferred Stock was convertible at any time and from time to time, and without the payment of additional consideration by the holder thereof, into such number of fully paid and nonassessable shares of Common Stock as was determined by dividing the Series C Original Issue Price by the Series C Conversion Price (as defined in the Second Amended and Restated Certificate of Incorporation of the Issuer) in effect at the time of conversion. The Common Stock underlying the Series C Preferred Stock was adjusted for a 1-for-0.7396 stock split.