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SunOpta Inc. — Director's Dealing 2021
Apr 6, 2021
32477_dirs_2021-04-05_98672554-b8ca-4fa8-bc4e-def92de73e00.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SunOpta Inc. (STKL)
CIK: 0000351834
Period of Report: 2021-04-01
Reporting Person: Ennen Joseph (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-01 | Common Shares | M | 99207 | — | Acquired | 1205184 | Direct |
| 2021-04-01 | Common Shares | F | 48810 | $14.84 | Disposed | 1156374 | Direct |
| 2021-04-01 | Common Shares | M | 71666 | — | Acquired | 1228040 | Direct |
| 2021-04-01 | Common Shares | F | 35260 | $14.84 | Disposed | 1192780 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-01 | Restricted Stock Units | $ | M | 99207 | Disposed | Common Shares (99207) | Direct | |
| 2021-04-01 | Restricted Stock Units | $ | M | 71666 | Disposed | Common Shares (71666) | Direct |
Footnotes
F1: Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
F2: This line item reflects the deemed disposition of shares withheld by the Company to satisfy income tax withholding requirements in connection with the vesting of the RSUs.
F3: The reporting person was granted 297,619 restricted stock units, vesting in three equal annual installments beginning on April 1, 2020.
F4: The Restricted Stock Units do not have an expiration date.
F5: On June 18, 2019 the reporting person was granted 215,000 restricted stock units vesting in three equal annual installments beginning on April 1, 2020.