SEC Form 4 · accession 0001209191-16-149441
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Dean Hollis
Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 5:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000351834
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $6.65 | Nov 8, 2016 | A | 15,967 | A | Nov 8, 2017 | Nov 8, 2026 | common shares | 15,967 | 15,967 | D |
| Restricted Stock UnitsF1,F2 | — | Nov 8, 2016 | A | 7,995 | A | Nov 8, 2017 | — | common shares | 7,995 | 23,962 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
- F2The Restricted Stock Units do not have an expiration date.