Statement of Changes in Beneficial Ownership (4)
May 20 2021 - 7:49PM
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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3235-0287
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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)
5/17/2021 |
(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 | 5/17/2021 | | S(1) | | 13141 | D | $12.495 (2) | 172437 | D | |
Common Shares | 5/18/2021 | | S(1) | | 12028 | D | $12.6549 (3) | 160409 | D | |
Common Shares | 5/19/2021 | | S(1) | | 12026 | D | $12.3591 (4) | 148383 | 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 |
Explanation of Responses: |
(1) | Represents the number of shares sold by the reporting person solely to cover the tax withholding obligations in connection with the settlement of the PSUs that vested on April 22, 2021, as previously reported. |
(2) | The transaction was executed in multiple trades at prices ranging from $12.35 to $12.62. The price reported reflects the average sale price. The reporting person undertakes to provide the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
(3) | The transaction was executed in multiple trades at prices ranging from $12.52 to $12.79. The price reported reflects the average sale price. The reporting person undertakes to provide the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
(4) | The transaction was executed in multiple trades at prices ranging from $12.11 to $12.67. The price reported reflects the average sale price. The reporting person undertakes to provide the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
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 | | 5/20/2021 |
**Signature of Reporting Person | Date |
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