SEC Form 4 · accession 0001209191-16-149479
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Murray
Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 6:51 pm 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 | Nov 8, 2016 | M | 2,609 | $0.00 | A | 53,662 | D | |
| common shares | Nov 8, 2016 | F | 66 | $0.00 | D | 53,596 | D | |
| common shares | Nov 8, 2016 | M | 7,275 | $0.00 | A | 60,871 | D | |
| common shares | Nov 8, 2016 | F | 182 | $0.00 | D | 60,689 | D | |
| common shares | Nov 8, 2016 | M | 22,000 | $0.00 | A | 82,689 | D | |
| common shares | Nov 8, 2016 | F | 550 | $0.00 | D | 82,139 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Nov 8, 2016 | M | 2,609 | D | — | — | common shares | 2,609 | 29,275 | D |
| Restricted Stock UnitsF1,F2 | — | Nov 8, 2016 | M | 7,275 | D | — | — | common shares | 7,275 | 22,000 | D |
| Restricted Stock UnitsF1,F2 | — | Nov 8, 2016 | M | 22,000 | D | — | — | common shares | 22,000 | 0 | D |
Explanation of responses
- F1Restricted Stock Units convert into common shares on a one-for-one basis.
- F2The Restricted Stock Units immediately vested on 11/08/2016.