SEC Form 4 · accession 0001209191-18-057106
SunOpta Inc. · STKL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Miketa
Officer — Chief Customer Officer
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 3:30 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,F2 | Nov 1, 2018 | M | 5,833 | — | A | 36,989 | D | |
| Common Shares | Nov 1, 2018 | F | 1,785 | $7.50 | D | 35,204 | 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 | — | Nov 1, 2018 | M | 5,833 | D | — | — | Common Shares | 5,833 | 11,667 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
- F2Includes 920 shares acquired under the STKL stock purchase plan in June 2018 and 1,347 shares acquired under the STKL stock purchase plan in September 2018.
- F3On November 1, 2017 the reporting person was granted 17,500 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F4This award has no expiration date. Units will either vest or be forfeited.