SEC Form 4 · accession 0001209191-18-008552
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Colo
Officer — President and CEO · Director
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 6:25 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 SharesF1 | Feb 6, 2018 | M | 16,667 | — | A | 161,667 | D | |
| Common Shares | Feb 6, 2018 | F | 4,879 | $6.90 | D | 156,788 | D | |
| Common SharesF1 | Feb 6, 2018 | M | 16,667 | — | A | 173,455 | D | |
| Common Shares | Feb 6, 2018 | F | 5,225 | $6.90 | D | 168,230 | 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 | — | Feb 6, 2018 | M | 16,667 | D | — | — | Common Shares | 16,667 | 33,333 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 6, 2018 | M | 16,667 | D | — | — | Common Shares | 16,667 | 33,333 | D |
Explanation of responses
- F1Restricted Stock Units convert into common shares on a one-for-one basis.
- F2On February 6, 2017 the reporting person was granted 50,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F3On March 9, 2017 the reporting person was granted 50,000 restricted stock units, vesting in three equal annual installments beginning on February 6, 2018.