SEC Form 3 · accession 0000351834-16-000067
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lillian Barlett
Officer — VP RMIA
Period of report
Jan 18, 2016
Accepted (ET)
Jan 26, 2016 · 8:53 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000351834
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common shares | holding | — | — | — | 2,366 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock optionsF1 | $5.62 | holding | — | — | — | — | Aug 10, 2016 | Common shares | 800 | — | D |
| Stock optionsF2 | $7.35 | holding | — | — | — | — | May 11, 2017 | Common shares | 400 | — | D |
| Stock optionsF3 | $4.99 | holding | — | — | — | — | Dec 1, 2017 | Common shares | 3,000 | — | D |
| Stock optionsF4 | $5.73 | holding | — | — | — | — | May 8, 2022 | Common shares | 6,000 | — | D |
| Stock optionsF5 | $7.36 | holding | — | — | — | — | May 7, 2023 | Common shares | 8,000 | — | D |
| Stock optionsF6 | $11.30 | holding | — | — | — | — | May 13, 2024 | Common shares | 4,185 | — | D |
| Stock optionsF7 | $10.08 | holding | — | — | — | — | May 12, 2025 | Common shares | 5,812 | — | D |
Explanation of responses
- F1These options became exercisable in two equal annual installments on each of August 10, 2014 and 2015. These options qualify as incentive stock options.
- F2These options became or will become exercisable in two equal annual installments on each of May 11, 2015 and 2016. These options qualify as incentive stock options.
- F3These options became or will become exercisable in three equal annual installments on each of December 1, 2014, 2015 and 2016. These options qualify as incentive stock options.
- F4These options became or will become exercisable in three equal annual installments on each of May 8, 2015, 2016 and 2017. These options qualify as incentive stock options.
- F5These options became or will become exercisable in four equal annual installments on each of May 7, 2015, 2016, 2017 and 2018. These options qualify as incentive stock options.
- F6These options became or will become exercisable in five equal annual installments on each of May 13, 2015, 2016, 2017, 2018 and 2019. These options qualify as incentive stock options.
- F7These options will become exercisable in five annual installments. The first installment of 1,162 options will become exercisable on May 12, 2016. The second installment of 1,163 options will become exercisable on May 12, 2017. The third installment of 1,162 options will become exercisable on May 12, 2018. The fourth installment of 1,163 options will become exercisable on May 12, 2019. The fifth installment of 1,162 options will become exercisable on May 12, 2020. These options qualify as incentive stock options.