SEC Form 4 · accession 0001209191-18-055641
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susanne Schuster
Officer — VP Internal Audit
Period of report
May 24, 2018
Accepted (ET)
Oct 19, 2018 · 2:13 pm EDT
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,F2 | May 24, 2018 | M | 1,703 | — | A | 2,149 | D | |
| Common Shares | May 24, 2018 | F | 506 | $7.70 | D | 1,643 | 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,F3,F4 | — | May 24, 2018 | M | 1,703 | D | — | — | Common Shares | 1,703 | 3,406 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
- F2Includes 446 shares acquired under the STKL stock purchase plan in September 2018.
- F3On November 28, 2017 the reporting person was granted 5,109 Restricted Stock Units, vesting in three equal annual installments beginning on May 24, 2018.
- F4The Restricted Stock Units do not have an expiration date.