Initial Statement of Beneficial Ownership (3)
September 26 2019 - 12:10PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Reijn Barend |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/16/2019
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3. Issuer Name and Ticker or Trading Symbol
SunOpta Inc. [STKL]
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(Last)
(First)
(Middle)
100 ENTERPRISE WAY, SUITE B 101 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
General Manager of CPG Fruit / |
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(Street)
SCOTTS VALLEY, CA 95066
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Shares | 31288 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | 5/12/2015 | 5/12/2025 | Common Shares | 5000 | $10.08 | D | |
| Stock Option (Right to Buy) | 5/7/2013 | 5/7/2023 | Common Shares | 800 | $7.36 | D | |
| Stock Option (Right to Buy) | 5/13/2014 | 5/13/2024 | Common Shares | 4000 | $11.30 | D | |
| Stock Option (Right to Buy) | 5/24/2019 | 5/24/2026 | Common Shares | 3333 | $3.27 | D | |
| Stock Option (Right to Buy) | 5/24/2020 | 5/24/2027 | Common Shares | 9465 | $9.50 | D | |
| Stock Option (Right to Buy) | 5/24/2020 | 5/24/2027 | Common Shares | 2586 | $9.50 | D | |
| Performance Stock Units | 5/24/2020 | (1) | Common Shares | 13497 | (2) | D | |
| Restricted Stock Units | 5/24/2020 | (3) | Common Shares | 3599 | (4) | D | |
| Explanation of Responses: |
| (1) | The Performance Stock Units do not have an expiration date. |
| (2) | Each Performance Stock Unit represents a contingent right to receive one share of STKL common stock. |
| (3) | The Restricted Stock Units do not have an expiration date. |
| (4) | Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock. |
Remarks:
Exhibit List:
Exhibit 24: Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Reijn Barend
100 ENTERPRISE WAY
SUITE B 101
SCOTTS VALLEY, CA 95066 |
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| General Manager of CPG Fruit |
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Signatures
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| /s/ Jill Barnett, attorney-in-fact | | 9/26/2019 |
| **Signature of Reporting Person | Date |
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