4//SEC Filing
Freshpet, Inc. 4
Accession 0001209191-14-069407
$FRPTCIK 0001611647operating
Filed
Nov 16, 7:00 PM ET
Accepted
Nov 17, 9:21 PM ET
Size
14.6 KB
Accession
0001209191-14-069407
Insider Transaction Report
Form 4
Freshpet, Inc.FRPT
THOMPSON RICHARD C
DirectorChief Executive Officer
Transactions
- Conversion
Common Stock
2014-11-13$7.10/sh+330,538$2,346,820→ 470,814 total(indirect: See Footnote) - Conversion
Common Stock
2014-11-13$7.10/sh+15,828$112,379→ 15,828 total - Conversion
Series C Preferred Stock
2014-11-13−446,916→ 0 total(indirect: See Footnote)Exercise: $7.10→ Common Stock (330,538 underlying) - Conversion
Series C Preferred Stock
2014-11-13−21,401→ 0 totalExercise: $7.10→ Common Stock (15,828 underlying) - Other
Series C Preferred Stock
2014-11-13+109→ 21,401 totalExercise: $7.10→ Common Stock (80 underlying)
Footnotes (3)
- [F1]The Reporting Person has voting and investment power over 140,276 shares of Common Stock and 58,842 shares of Series C Preferred Stock held of record by Thompson Holdings, LLP. The Reporting Person has voting and investment power over 409,366 shares of Series C Preferred C stock held of record by Thompson FP Food, LLC.
- [F2]The 109 shares of Series C Preferred Stock (convertible into 80 shares of Common Stock) were received as fees under the Amended and Restated Fee and Reimbursement Agreement, dated as of April 15, 2013, as amended (the "Fee and Reimbursement Agreement"). Pursuant to the Fee and Reimbursement Agreement, the Issuer paid each guarantor a contingent fee equal to 10% per annum of the amount each guarantor committed to guarantee. The number of shares of Series C Preferred Stock issuable in respect of the Reporting Person's guarantee accrued until November 13, 2014, the date the guarantee was terminated in connection with the repayment of the credit facility.
- [F3]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.
Documents
Issuer
Freshpet, Inc.
CIK 0001611647
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001611647
Filing Metadata
- Form type
- 4
- Filed
- Nov 16, 7:00 PM ET
- Accepted
- Nov 17, 9:21 PM ET
- Size
- 14.6 KB