organization · Reporting owner
Engaged Capital Co-Invest IV-A, LP
Disclosed activity across 1 company
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Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SunOpta Inc.
Report date August 16, 2022 · Filed August 18, 2022
Jointly reported with Engaged Capital LLC, Engaged Capital Holdings, LLC, Welling Glenn W., Engaged Capital Flagship Master Fund, LP, Engaged Capital Flagship Fund, L.P., Engaged Capital Flagship Fund, Ltd.
Section 16 reporting ended · disclosed 2022-08-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy: Engaged Capital Flagship Master Fund, LP | 4,747,346 |
Last balance in matching sequence
After 2022-08-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-08-16 · Sale · Disposed 67,249 · Balance 5,144,877 F1: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F3: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Row 2 · 2022-08-17 · Sale · Disposed 397,531 · Balance 4,747,346 F1: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. |
| Common SharesSEC Table I · non-derivative | IndirectBy: Managed Account of Engaged Capital, LLC | 371,440 |
Last balance in matching sequence
After 2022-08-17 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2022-08-16 · Sale · Disposed 478,204 · Balance 401,589 F1: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. Row 4 · 2022-08-17 · Sale · Disposed 30,149 · Balance 371,440 F1: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F2: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act.
F3: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master.
F4: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 17, 2022 Filed Aug 18, 2022 23:24 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 30,149 | $10.71 | $322,835.49 |
DisclosureSEC source: 0000921895-22-002503 · form409455021_08182022.xml · nonDerivative · entry 4 Engaged Capital LLC · CIK 0001559771 · See Footnote 1 Engaged Capital Holdings, LLC · CIK 0001580769 · See Footnote 1 Welling Glenn W. · CIK 0001580771 · See Footnote 1 Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Managed Account of Engaged Capital, LLC Disclosed balance after: 371,440 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.nature: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 23:24 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 397,531 | $10.71 | $4,256,761.95 |
DisclosureSEC source: 0000921895-22-002503 · form409455021_08182022.xml · nonDerivative · entry 2 Engaged Capital LLC · CIK 0001559771 · See Footnote 1 Engaged Capital Holdings, LLC · CIK 0001580769 · See Footnote 1 Welling Glenn W. · CIK 0001580771 · See Footnote 1 Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Flagship Master Fund, LP Disclosed balance after: 4,747,346 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 23:24 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 478,204 | $11.03 | $5,274,781.40 |
DisclosureSEC source: 0000921895-22-002503 · form409455021_08182022.xml · nonDerivative · entry 3 Engaged Capital LLC · CIK 0001559771 · See Footnote 1 Engaged Capital Holdings, LLC · CIK 0001580769 · See Footnote 1 Welling Glenn W. · CIK 0001580771 · See Footnote 1 Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Managed Account of Engaged Capital, LLC Disclosed balance after: 401,589 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.nature: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 23:24 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 67,249 | $11.03 | $741,783.37 |
DisclosureSEC source: 0000921895-22-002503 · form409455021_08182022.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · See Footnote 1 Engaged Capital Holdings, LLC · CIK 0001580769 · See Footnote 1 Welling Glenn W. · CIK 0001580771 · See Footnote 1 Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Flagship Master Fund, LP Disclosed balance after: 5,144,877 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · date: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F2 · kind: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F2 · shares: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F2 · price: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F2 · acquired: The sale of 67,249 Common Shares at a price of $11.0304 reported herein is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the purchase of 22,561 Common Shares at a price of $5.21 by Engaged Capital Flagship Master on March 2, 2022. The Reporting Persons have made arrangements with the Issuer to voluntarily disgorge $131,314.04 to the Issuer, the full amount of statutory "profit" calculated pursuant to Section 16(b) of the Exchange Act. F3 · ownership.nature: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Read SEC document |
| June 16, 2022 Filed Jun 16, 2022 23:33 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 125,379 | Not disclosed Strike: $6.59 | Not disclosed |
DisclosureSEC source: 0000921895-22-002018 · form409455021_06162022.xml · derivative · entry 6 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation Fund, LP Disclosed balance after: 0 Underlying: Common Shares · 0 shares Expires 2023-08-24 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · derivative.exercise_price: Represents the reference price associated with the applicable Swap (as defined below). F6 · kind: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F5 · price: Represents the reference price associated with the applicable Swap (as defined below). F6 · price: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F6 · derivative.exercise_date: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F2 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| June 16, 2022 Filed Jun 16, 2022 23:33 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 58,644 | Not disclosed Strike: $6.55 | Not disclosed |
DisclosureSEC source: 0000921895-22-002018 · form409455021_06162022.xml · derivative · entry 5 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation Fund, LP Disclosed balance after: 0 Underlying: Common Shares · 0 shares Expires 2023-08-24 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · derivative.exercise_price: Represents the reference price associated with the applicable Swap (as defined below). F6 · kind: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F5 · price: Represents the reference price associated with the applicable Swap (as defined below). F6 · price: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F6 · derivative.exercise_date: Engaged Capital Special Situation previously entered into cash-settled total return swap agreements (the "Swaps") with an unaffiliated third party financial institution as the counterparty. Engaged Capital Special Situation no longer has any economic exposure to such Swaps. Previously, the Swaps provided Engaged Capital Special Situation with economic results that are comparable to the economic results of ownership, but did not provide Engaged Capital Special Situation with the power to vote or direct the voting or dispose of or direct the disposition of the common shares that were the subject of the Swap (the "Subject Shares"). The Reporting Persons expressly disclaims beneficial ownership of the Subject Shares except to the extent of their pecuniary interest therein. F2 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 23:33 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 437,489 | $7.24 | $3,167,070.37 |
DisclosureSEC source: 0000921895-22-002018 · form409455021_06162022.xml · nonDerivative · entry 2 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation Fund, LP Disclosed balance after: 0 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 23:33 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 602,837 | $7.01 | $4,227,937.02 |
DisclosureSEC source: 0000921895-22-002018 · form409455021_06162022.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation Fund, LP Disclosed balance after: 437,489 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| March 02, 2022 Filed Mar 5, 2022 01:03 UTC | SunOpta Inc. STKL · Entity 49798 | OtherCommon Shares | 447,025 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-22-000773 · form409455021_03042022.xml · nonDerivative · entry 5 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Managed Account of Engaged Capital, LLC Disclosed balance after: 879,793 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F7 · kind: The Engaged Capital Account received 447,025 shares of common stock in the Engaged Capital Co-Invest IV Distribution. F7 · shares: The Engaged Capital Account received 447,025 shares of common stock in the Engaged Capital Co-Invest IV Distribution. F7 · price: The Engaged Capital Account received 447,025 shares of common stock in the Engaged Capital Co-Invest IV Distribution. F8 · ownership.nature: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. Read SEC document |
| March 02, 2022 Filed Mar 5, 2022 01:03 UTC | SunOpta Inc. STKL · Entity 49798 | OtherCommon Shares | 3,144,078 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-22-000773 · form409455021_03042022.xml · nonDerivative · entry 4 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Co-Invest IV, LP Disclosed balance after: 0 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: On March 2, 2022, Engaged Capital Co-Invest IV engaged in a pro rata distribution of 3,144,078 shares to its partners for no consideration (the "Engaged Capital Co-Invest IV Distribution"). Represents the distribution of 3,144,078 shares of common stock of the Issuer held by Engaged Capital Co-Invest IV pursuant to the Engaged Capital Co-Invest IV Distribution. F6 · shares: On March 2, 2022, Engaged Capital Co-Invest IV engaged in a pro rata distribution of 3,144,078 shares to its partners for no consideration (the "Engaged Capital Co-Invest IV Distribution"). Represents the distribution of 3,144,078 shares of common stock of the Issuer held by Engaged Capital Co-Invest IV pursuant to the Engaged Capital Co-Invest IV Distribution. F6 · price: On March 2, 2022, Engaged Capital Co-Invest IV engaged in a pro rata distribution of 3,144,078 shares to its partners for no consideration (the "Engaged Capital Co-Invest IV Distribution"). Represents the distribution of 3,144,078 shares of common stock of the Issuer held by Engaged Capital Co-Invest IV pursuant to the Engaged Capital Co-Invest IV Distribution. F5 · ownership.nature: Securities owned directly by Engaged Capital Co-Invest IV. As the general partner and investment adviser of Engaged Capital Co-Invest IV, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Read SEC document |
| March 02, 2022 Filed Mar 5, 2022 01:03 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 22,561 | $5.21 | $117,542.81 |
DisclosureSEC source: 0000921895-22-000773 · form409455021_03042022.xml · nonDerivative · entry 3 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Co-Invest IV, LP Disclosed balance after: 3,144,078 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · kind: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F3 · shares: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F3 · price: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F5 · ownership.nature: Securities owned directly by Engaged Capital Co-Invest IV. As the general partner and investment adviser of Engaged Capital Co-Invest IV, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Co-Invest IV. Read SEC document |
| March 02, 2022 Filed Mar 5, 2022 01:03 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 22,561 | $5.21 | $117,542.81 |
DisclosureSEC source: 0000921895-22-000773 · form409455021_03042022.xml · nonDerivative · entry 2 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Flagship Master Fund, LP Disclosed balance after: 5,212,126 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · kind: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F3 · shares: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F3 · price: On March 2, 2022, Engaged Capital Co-Invest IV sold 22,561 Shares at $5.21 per share to Engaged Capital Flagship Master in a private transaction. F4 · ownership.nature: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Read SEC document |
| October 06, 2020 Filed Mar 5, 2022 01:03 UTC | SunOpta Inc. STKL · Entity 49798 | OtherCommon Shares | 4,831 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-22-000773 · form409455021_03042022.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · See Footnote 1 Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Managed Account of Engaged Capital, LLC Disclosed balance after: 432,768 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · kind: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. As reported herein, pursuant to Mr. Springstubb's employment arrangements, the Engaged Capital Account (as defined below) received 4,831 Common Shares subsequent to Mr. Springstubb's departure from the Issuer's Board of Directors. F2 · price: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. As reported herein, pursuant to Mr. Springstubb's employment arrangements, the Engaged Capital Account (as defined below) received 4,831 Common Shares subsequent to Mr. Springstubb's departure from the Issuer's Board of Directors. F8 · ownership.nature: Securities held in an account separately managed by Engaged Capital (the "Engaged Capital Account"). Engaged Capital, as the investment adviser of the Engaged Capital Account, may be deemed to beneficially own the securities held in the Engaged Capital Account. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities held in the Engaged Capital Account. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities held in the Engaged Capital Account. Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 22:59 UTC | SunOpta Inc. STKL · Entity 49798 | OtherCommon Shares | 40,326 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-20-002063 · form409455021_08032020.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation Fund, LP Disclosed balance after: 1,040,326 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Special Situation was entitled to 40,326 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F6 · shares: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Special Situation was entitled to 40,326 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F6 · price: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Special Situation was entitled to 40,326 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| July 15, 2020 Filed Jul 21, 2020 20:55 UTC | SunOpta Inc. STKL · Entity 49798 | OtherCommon Shares | 52,234 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-20-002039 · form409455021_07212020.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Flagship Master Fund, LP Disclosed balance after: 5,189,565 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Flagship Master was entitled to 52,234 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F6 · shares: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Flagship Master was entitled to 52,234 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F6 · price: Pursuant to the terms of Brendan Springstubb's employment arrangements with Engaged Capital, the compensation Mr. Springstubb received as a director of the Issuer was held for the benefit of Engaged Capital and its affiliates. Pursuant to Mr. Springstubb's employment arrangements, Engaged Capital Flagship Master was entitled to 52,234 Common Shares, representing its portion of Mr. Springstubb's director compensation, upon Mr. Springstubb's departure from the Issuer's Board of Directors. F2 · ownership.nature: Securities owned directly by Engaged Capital Flagship Master. As feeder funds of Engaged Capital Flagship Master, each of Engaged Capital Fund and Engaged Capital Offshore may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. As the general partner and investment adviser of Engaged Capital Flagship Master, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Mr. Welling, by virtue of his position as the founder and Chief Investment Officer of Engaged Capital, and as the sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Flagship Master. Read SEC document |
| May 22, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 133,838 | $3.80 | $509,186.67 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 9 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 1,000,000 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 22, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 10,100 | $3.85 | $38,885.00 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 8 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 866,162 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 21, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 482,500 | $3.86 | $1,861,822.75 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 7 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 856,062 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 21, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 73,694 | $3.87 | $285,063.13 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 6 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 373,562 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 20, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 187,696 | $3.80 | $714,051.89 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 5 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 299,868 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 20, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 3,500 | $3.76 | $13,154.05 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 4 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 112,172 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 19, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 26,178 | $3.60 | $94,196.30 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 3 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 108,672 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 19, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 25,309 | $3.66 | $92,749.89 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 2 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 82,494 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
| May 19, 2020 Filed May 22, 2020 21:10 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Shares | 57,185 | $3.72 | $212,899.76 |
DisclosureSEC source: 0000921895-20-001580 · form409455021_05222020.xml · nonDerivative · entry 1 Engaged Capital LLC · CIK 0001559771 · 10% owner Engaged Capital Holdings, LLC · CIK 0001580769 · 10% owner Welling Glenn W. · CIK 0001580771 · 10% owner Engaged Capital Flagship Master Fund, LP · CIK 0001580761 · 10% owner Engaged Capital Co-Invest IV, LP · CIK 0001680308 · See Footnote 1 Engaged Capital Co-Invest IV-A, LP · CIK 0001810615 · See Footnote 1 Engaged Capital Special Situation Fund, LP · CIK 0001813061 · See Footnote 1 Engaged Capital Flagship Fund, L.P. · CIK 0001559850 · 10% owner · See Footnote 1 Engaged Capital Flagship Fund, Ltd. · CIK 0001619827 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Engaged Capital Special Situation, LP Disclosed balance after: 57,185 F1 · security: This Form 4 is filed jointly by Engaged Capital Flagship Master Fund, LP ("Engaged Capital Flagship Master"), Engaged Capital Co-Invest IV, LP ("Engaged Capital Co-Invest IV"), Engaged Capital Co-Invest IV-A, LP ("Engaged Capital Co-Invest IV-A"), Engaged Capital Special Situation Fund, LP ("Engaged Capital Special Situation"), Engaged Capital Flagship Fund, LP ("Engaged Capital Fund"), Engaged Capital Flagship Fund, Ltd. ("Engaged Capital Offshore"), Engaged Capital, LLC ("Engaged Capital"), Engaged Capital Holdings, LLC ("Engaged Holdings") and Glenn W. Welling (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of SunOpta Inc.'s (the "Issuer") outstanding Common Shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F5 · ownership.nature: Securities owned directly by Engaged Capital Special Situation. As the general partner and investment adviser of Engaged Capital Special Situation, Engaged Capital may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Engaged Holdings, as the managing member of Engaged Capital, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Mr. Welling, as the Founder and Chief Investment Officer of Engaged Capital and sole member of Engaged Holdings, may be deemed to beneficially own the securities owned directly by Engaged Capital Special Situation. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.