SEC Form 4 · accession 0001209191-19-008597
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, 2019
Accepted (ET)
Feb 8, 2019 · 4:53 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, 2019 | M | 16,666 | — | A | 184,896 | D | |
| Common Shares | Feb 6, 2019 | F | 5,616 | $4.32 | D | 179,280 | D | |
| Common SharesF1 | Feb 6, 2019 | M | 16,666 | — | A | 195,946 | D | |
| Common Shares | Feb 6, 2019 | F | 5,775 | $4.32 | D | 190,171 | 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,F3 | — | Feb 6, 2019 | M | 16,666 | D | — | — | Common Shares | 16,666 | 16,667 | D |
| Restricted Stock UnitsF1,F4,F3 | — | Feb 6, 2019 | M | 16,666 | D | — | — | Common Shares | 16,666 | 16,667 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
- 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.
- F3The Restricted Stock Units do not have an expiration date.
- F4On March 9, 2017 the reporting person was granted 50,000 restricted stock units, vesting in three equal annual installments beginning on February 6, 2018.
Remarks
Exhibit List Exhibit 24 - Power of Attorney