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SunOpta Inc. — Director's Dealing 2014
Jun 16, 2014
32477_dirs_2014-06-16_932f02f4-938a-4a16-8db3-4863c19772b0.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: SunOpta Inc. (STKL)
CIK: 0000351834
Period of Report: 2013-08-16
Reporting Person: Jacobs Hendrik (COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-16 | Common Shares | S | 35060 | $9.05 | Acquired | 15964 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-16 | Stock Options | $5.14 | M | 50000 | Disposed | 2022-08-09 | Common shares (50000) | Direct |
Footnotes
F1: This amended Form 4 is being filed to correct a number of inaccuracies in the original Form 4 filed on August 20, 2013. The original Form 4 incorrectly reported a sale of 50,000 common shares. The correct amount sold by the reporting person was only 35,060 common shares.
F2: The original Form 4 incorrectly reported that the amount of securities beneficially owned following the sale of common shares was 1,024 common shares. Following the sale of the 35,060 common shares, the reporting person beneficially owned 15,964 common shares.
F3: The original Form 4 incorrectly reported a purchase of 14,940 shares of common stock that did not in fact occur. The reporting person acquired 50,000 common shares pursuant to the option exercise reported in the original Form 4, sold 35,060 of those shares and retained the balance of 14,940 shares. As of August 16, 2013 following the sale of 35,060 common shares, the reporting person beneficially owned 15,964 common shares.
F4: The original Form 4 incorrectly reported a price of derivative security of $5.14. The correct price of the derivative security is $0.
F5: The original Form 4 incorrectly reported the number of derivative securities beneficially owned following reported transaction as 290,000. The reporting person exercised all of his stock options with an exercise price of $5.14, date exercisable of August 9, 2013 and expiration date of August 9, 2022. As a result, the correct number of derivative securities beneficially owned following reported transaction is 0.