Statement of Changes in Beneficial Ownership (4)
29 October 2019 - 2:26AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
ARDSLEY ADVISORY PARTNERS LP |
2. Issuer Name and Ticker or Trading Symbol
SunOpta Inc.
[
STKL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Footnotes(1)(2)(3)
|
(Last)
(First)
(Middle)
262 HARBOR DRIVE, 4TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/24/2019
|
(Street)
STAMFORD, CT 06902
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/24/2019
|
|
P(3)
|
|
7900
|
A
|
$1.7467
|
11955155
|
I
|
See Footnotes (1)(2)(3)
|
Common Stock
|
10/24/2019
|
|
P(3)
|
|
2700
|
A
|
$1.6996
|
11957855
|
I
|
See Footnotes (1)(2)(3)
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code (Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
|
8. Price of Derivative Security (Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
This Form 4 is being filed by Ardsley Advisory Partners LP (the "Advisor") on behalf of itself and Ardsley Advisory Partners GP LLC (the "Advisor General Partner"), Ardsley Partners I GP LLC (the "General Partner"), Ardsley Partners Renewable Energy Fund, L.P. (the "Renewable Energy Fund"), Ardsley Healthcare Fund, L.P. (the "Healthcare Fund"), Ardsley Duckdive Fund, L.P. (the "Duckdive Fund"), Ardsley Ridgecrest Partners Fund, LP (the "Ridgecrest Fund") and Philip J. Hempleman ("Hempleman" and, together with the Advisor, the Advisor General Partner, the General Partner, the Renewable Energy Fund, the Healthcare Fund, the Duckdive Fund, and the Ridgecrest Fund, the "Reporting Persons").
|
(2)
|
(Continued from Footnote 1) The Advisor General Partner serves as general partner to the Advisor. The General Partner serves as general partner to the Renewable Energy Fund, the Healthcare Fund, the Duckdive Fund, and the Ridgecrest Fund. Hempleman serves as managing member to the Advisor, the Advisor General Partner, and the General Partner.
|
(3)
|
The amounts set forth in Table I reflect the 10,600 shares of Common Stock purchased by the Duckdive Fund in the open market transaction requiring the filing of this statement. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by the Reporting Persons is reported herein. Each of the Advisor, the Advisor General Partner, the General Partner, and Hempleman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Advisor, the Advisor General Partner, the General Partner, or Hempleman are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
ARDSLEY ADVISORY PARTNERS LP 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
X
|
|
See Footnotes(1)(2)(3)
|
Ardsley Advisory Partners GP LLC 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Ardsley Partners I GP LLC 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
HEMPLEMAN PHILIP J 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Ardsley Partners Renewable Energy Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Ardsley Healthcare Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Ardsley Duckdive Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Ardsley Ridgecrest Partners Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902
|
|
|
|
See Footnotes(1)(2)(3)
|
Signatures
|
/s/ Steve Napoli, Partner
|
|
10/28/2019
|
**Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
SunOpta (NASDAQ:STKL)
Historical Stock Chart
From Apr 2024 to May 2024
SunOpta (NASDAQ:STKL)
Historical Stock Chart
From May 2023 to May 2024
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.