SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
KAYNE RICHARD A

(Last) (First) (Middle)

(Street)

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Freshpet, Inc. [ FRPT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/17/2015
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/17/2015 J(1) 201,702 D $0 3,331,091 I See Footnote 2(2)
Common Stock 08/17/2015 J(3) 78,972 A $0 309,564 I By Ricahrd and Suzanne Kayne Living Trust u/t/d 1/14/99
Common Stock 08/17/2015 J(4) 34,076 A $0 34,076 I See Footnote 4(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Completion of the first distribution to members of Freshpet Investors, LLC ("FPI") pursuant to the Selldown Agreement entered into between FPI and the Company in connection with the initial public offering, and includes only shares distributed to persons who may be deemed affiliates.
2. Such 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.
3. In-kind distribution which represents the Reporting Person's pecuniary interest in the distribution from FPI.
4. In-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.
David J. Shladovsky, as attorney-in-fact for the Reporting Person 08/19/2015
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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