Statement of Changes in Beneficial Ownership (4)
March 09 2020 - 5:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Buick Mike |
2. Issuer Name and Ticker or Trading Symbol
SunOpta Inc.
[
STKL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP and GM |
(Last)
(First)
(Middle)
7301 OHMS LANE SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2020 |
(Street)
EDINA, MN 55439
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 3/5/2020 | | M | | 2500 | A | (1) | 61599 (2) | D | |
Common Shares | 3/5/2020 | | F | | 898 | D | $2.96 | 60701 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Restricted Stock Units | (1) | 3/5/2020 | | M | | | 2500 | 3/5/2020 | (3) | Common Shares | 2500 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock. |
(2) | Includes 2129 shares acquired under the STKL stock purchase plan in December 2019 and 3305 shares acquired under the STKL stock purchase plan in September 2019 and 1940 shares acquired under the STKL stock purchase plan in June 2019. |
(3) | The Restricted Stock Units do not have an expiration date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Buick Mike 7301 OHMS LANE SUITE 600 EDINA, MN 55439 |
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| SVP and GM |
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Signatures
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/s/ Jill Barnett, attorney-in-fact | | 3/9/2020 |
**Signature of Reporting Person | Date |
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