organization · Reporting owner
Oaktree Huntington Investment Fund II, L.P.
Disclosed activity across 1 company
Sign in to followReported relationships
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 May 01, 2026 · Filed May 05, 2026
Jointly reported with Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Holdings, LLC, Oaktree Organics, L.P.
Section 16 reporting ended · disclosed 2026-05-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-05-01 · Sale · Disposed 20,651,812 · Balance 0 F1: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser"). F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-01 · Sale · Disposed 30,000 · Balance 0 F4: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F5: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG. |
| Special Shares, Series 2SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-01 · Sale · Disposed 2,932,453 · Balance 0 F6: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
| Cash-Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $12.08 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-01 · Sale · Disposed 1 · Balance 0 F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8: OCG is indirectly the general partner or manager of each of the Trading Funds. |
| Cash-Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $12.08 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-01 · Sale · Disposed 1 · Balance 0 F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8: OCG is indirectly the general partner or manager of each of the Trading Funds. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser").
F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein.
F3: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF").
F4: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share.
F5: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG.
F6: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration.
F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms.
F8: OCG is indirectly the general partner or manager of each of the Trading Funds.
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 |
|---|---|---|---|---|---|---|
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $12.08 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 5 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Common Shares · 4,404,034 shares Expires not disclosed F7 · kind: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · price: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.exercise_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.expiration_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8 · ownership.nature: OCG is indirectly the general partner or manager of each of the Trading Funds. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $12.08 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 4 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Common Shares · 871,170 shares Expires not disclosed F7 · kind: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · price: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.exercise_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.expiration_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8 · ownership.nature: OCG is indirectly the general partner or manager of each of the Trading Funds. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleSpecial Shares, Series 2 · Derivative | 2,932,453 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 3 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Special Shares · Not disclosed shares Expires not disclosed F6 · kind: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.exercise_date: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.expiration_date: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.underlying: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.underlying_shares: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F6 · ownership.nature: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleSeries B-1 Preferred Stock · Derivative | 30,000 | Not disclosed Strike: $2.50 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Exchange Shares · 12,178,666.4 shares Expires not disclosed F4 · kind: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · price: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · derivative.exercise_date: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · derivative.expiration_date: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F5 · ownership.nature: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 20,651,812 | $6.50 | $134,236,778.00 |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 F1 · kind: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser"). F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 21:24 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.08 | $0.00 |
DisclosureSEC source: 0000899243-21-028010 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 37,234 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 07, 2021 Filed Jul 9, 2021 21:23 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.08 | $0.00 |
DisclosureSEC source: 0000899243-21-028009 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 37,234 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 06, 2021 Filed Jul 6, 2021 23:04 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $11.85 | $0.00 |
DisclosureSEC source: 0000899243-21-027624 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 17,890 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 06, 2021 Filed Jul 6, 2021 22:58 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $11.85 | $0.00 |
DisclosureSEC source: 0000899243-21-027617 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 17,890 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 23:04 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-027624 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 23,138 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 22:58 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-027617 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 23,138 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 23:04 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0000899243-21-027624 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 12,667 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 22:58 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0000899243-21-027617 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 12,667 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 30, 2021 Filed Jun 30, 2021 22:49 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0000899243-21-026808 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 11,395 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 30, 2021 Filed Jun 30, 2021 22:48 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0000899243-21-026806 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 11,395 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 29, 2021 Filed Jun 30, 2021 22:49 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-026808 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 31,394 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 29, 2021 Filed Jun 30, 2021 22:48 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-026806 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 31,394 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 28, 2021 Filed Jun 30, 2021 22:49 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-026808 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 31,427 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| June 28, 2021 Filed Jun 30, 2021 22:48 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0000899243-21-026806 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 31,427 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 26, 2021 Filed May 28, 2021 21:17 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.51 | $0.00 |
DisclosureSEC source: 0000899243-21-021148 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 39,173 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 26, 2021 Filed May 28, 2021 21:15 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.51 | $0.00 |
DisclosureSEC source: 0000899243-21-021145 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 39,173 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 19, 2021 Filed May 19, 2021 23:03 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.36 | $0.00 |
DisclosureSEC source: 0000899243-21-020014 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 36,490 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 19, 2021 Filed May 19, 2021 23:02 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.36 | $0.00 |
DisclosureSEC source: 0000899243-21-020013 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 36,490 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 18, 2021 Filed May 19, 2021 23:03 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.67 | $0.00 |
DisclosureSEC source: 0000899243-21-020014 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 8,680 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 18, 2021 Filed May 19, 2021 23:02 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.67 | $0.00 |
DisclosureSEC source: 0000899243-21-020013 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 8,680 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 17, 2021 Filed May 19, 2021 23:03 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-21-020014 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 76,709 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| May 17, 2021 Filed May 19, 2021 23:02 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-21-020013 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 76,709 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swaps. F4 · kind: OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swaps. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:38 UTC | SunOpta Inc. STKL · Entity 49798 | ConversionSeries A Preferred Stock · Derivative | 13,804 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-007575 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,051,668 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.exercise_price: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.exercise_date: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.expiration_date: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F3 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.direct: (Continued From Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:38 UTC | SunOpta Inc. STKL · Entity 49798 | ConversionCommon Stock | 2,051,668 | $7.00 | $14,361,676.00 |
DisclosureSEC source: 0000899243-21-007575 · doc4.xml · nonDerivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,410,233 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.direct: (Continued From Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:38 UTC | SunOpta Inc. STKL · Entity 49798 | OtherSpecial Shares, Series 1 | 1,972,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-007575 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · security: The Special Shares, Series 1 (the "Special Voting Shares") were issued to and deposited with an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF II") and other holders of Series A Preferred Shares of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated October 7, 2016 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, Organics, Oaktree Huntington Investment Fund II, L.P. and the Trustee. The number of Special Voting Shares represents the number of Common Shares exchangeable for the Preferred Shares (as defined below), subject to certain adjustments and restrictions. F1 · ownership.nature: The Special Shares, Series 1 (the "Special Voting Shares") were issued to and deposited with an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF II") and other holders of Series A Preferred Shares of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated October 7, 2016 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, Organics, Oaktree Huntington Investment Fund II, L.P. and the Trustee. The number of Special Voting Shares represents the number of Common Shares exchangeable for the Preferred Shares (as defined below), subject to certain adjustments and restrictions. F3 · ownership.nature: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.nature: (Continued From Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.nature: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:33 UTC | SunOpta Inc. STKL · Entity 49798 | ConversionSeries A Preferred Stock · Derivative | 13,804 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-007573 · doc4.xml · derivative · entry 3 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,051,668 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.exercise_price: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.exercise_date: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F2 · derivative.expiration_date: The Series A Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $7.00 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange. The Preferred Shares have no expiration date. F3 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:33 UTC | SunOpta Inc. STKL · Entity 49798 | ConversionCommon Stock | 2,051,668 | $7.00 | $14,361,676.00 |
DisclosureSEC source: 0000899243-21-007573 · doc4.xml · nonDerivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,410,233 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 22, 2021 22:33 UTC | SunOpta Inc. STKL · Entity 49798 | OtherSpecial Shares, Series 1 | 1,972,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-007573 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · security: The Special Shares, Series 1 (the "Special Voting Shares") were issued to and deposited with an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF II") and other holders of Series A Preferred Shares of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated October 7, 2016 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, Organics, Oaktree Huntington Investment Fund II, L.P. and the Trustee. The number of Special Voting Shares represents the number of Common Shares exchangeable for the Preferred Shares (as defined below), subject to certain adjustments and restrictions. F1 · ownership.nature: The Special Shares, Series 1 (the "Special Voting Shares") were issued to and deposited with an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF II") and other holders of Series A Preferred Shares of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated October 7, 2016 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, Organics, Oaktree Huntington Investment Fund II, L.P. and the Trustee. The number of Special Voting Shares represents the number of Common Shares exchangeable for the Preferred Shares (as defined below), subject to certain adjustments and restrictions. F3 · ownership.nature: This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F4 · ownership.nature: (Continued from Footnote 3) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F5 · ownership.nature: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 21:06 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0000899243-20-023043 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 544,981 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into a cash-settled total return swap with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swap"). The Cash-Settled Swap provides the Trading Fund with economic results that are comparable to the economic results of ownership of 544,981 of the Issuer's common shares (the "Subject Shares"). Upon termination of the the Cash-Settled Swap, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swap was initially executed at a price of $6.05000. The Cash-Settled Swap is exclusively cash-settled and does not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swap does not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swap are unaffiliated third party financial institutions. The Cash-Settled Swap may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swap. F4 · kind: OHIF (the "Trading Fund") has entered into a cash-settled total return swap with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swap"). The Cash-Settled Swap provides the Trading Fund with economic results that are comparable to the economic results of ownership of 544,981 of the Issuer's common shares (the "Subject Shares"). Upon termination of the the Cash-Settled Swap, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swap was initially executed at a price of $6.05000. The Cash-Settled Swap is exclusively cash-settled and does not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swap does not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swap are unaffiliated third party financial institutions. The Cash-Settled Swap may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swap, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swap on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swap, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swap. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 21:00 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCash-Settled Total Return Swap · Derivative | 1 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0000899243-20-023039 · doc4.xml · derivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Shares · 544,981 shares Expires 2023-08-18 F4 · security: OHIF (the "Trading Fund") has entered into a cash-settled total return swap with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swap"). The Cash-Settled Swap provides the Trading Fund with economic results that are comparable to the economic results of ownership of 544,981 of the Issuer's common shares (the "Subject Shares"). Upon termination of the the Cash-Settled Swap, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · security: (Continued from Footnote 4) The Cash-Settled Swap was initially executed at a price of $6.05000. The Cash-Settled Swap is exclusively cash-settled and does not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swap does not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swap are unaffiliated third party financial institutions. The Cash-Settled Swap may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F7 · derivative.exercise_price: Reflects the initial price under the Cash-Settled Swap. F4 · kind: OHIF (the "Trading Fund") has entered into a cash-settled total return swap with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swap"). The Cash-Settled Swap provides the Trading Fund with economic results that are comparable to the economic results of ownership of 544,981 of the Issuer's common shares (the "Subject Shares"). Upon termination of the the Cash-Settled Swap, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5 · kind: (Continued from Footnote 4) The Cash-Settled Swap was initially executed at a price of $6.05000. The Cash-Settled Swap is exclusively cash-settled and does not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swap does not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swap are unaffiliated third party financial institutions. The Cash-Settled Swap may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations. F6 · kind: Under the terms of the Cash-Settled Swap, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8 · derivative.exercise_date: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swap on any business day, subject to customary adjustments and limitations. F1 · ownership.direct: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF GP; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F2 · ownership.direct: (Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: Under the terms of the Cash-Settled Swap, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F7 · ownership.direct: Reflects the initial price under the Cash-Settled Swap. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 21:12 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseSeries B-1 Preferred Stock · Derivative | 2,461.48 | $1,000.00 | $2,461,480.00 |
DisclosureSEC source: 0000899243-20-011444 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461.48 Underlying: Common Shares · 984,592 shares Expires not disclosed F5 · derivative.exercise_price: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F5 · derivative.exercise_date: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F5 · derivative.expiration_date: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F6 · derivative.underlying_shares: The number of Common Shares reported herein represents the number of Common Shares that would be issuable upon the exchange of all of the 2,461.48 Preferred Shares held by OHIF without giving effect to the Exchange Caps and the Rights Plan Exchange Cap (each as defined in the Subsidiary's Second Amended and Restated Certificate of Incorporation). The Exchange Caps and the Rights Plan Exchange Cap limit the number Common Shares that are exchangeable by the Reporting Persons for the Preferred Shares. F5 · balance_after: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F2 · ownership.direct: OHIF directly owns the securities reported herein. This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; F3 · ownership.direct: (Continued from footnote 2) (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 21:12 UTC | SunOpta Inc. STKL · Entity 49798 | OtherSpecial Shares, Series 2 | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-011444 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Partners Ltd · CIK 0001540229 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). F1 · kind: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). F1 · ownership.direct: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 21:08 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseSeries B-1 Preferred Stock · Derivative | 2,461.48 | $1,000.00 | $2,461,480.00 |
DisclosureSEC source: 0000899243-20-011442 · doc4.xml · derivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461.48 Underlying: Common Shares · 984,592 shares Expires not disclosed F5 · derivative.exercise_price: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F5 · derivative.exercise_date: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F5 · derivative.expiration_date: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F6 · derivative.underlying_shares: The number of Common Shares reported herein represents the number of Common Shares that would be issuable upon the exchange of all of the 2,461.48 Preferred Shares held by OHIF without giving effect to the Exchange Caps and the Rights Plan Exchange Cap (each as defined in the Subsidiary's Second Amended and Restated Certificate of Incorporation). The Exchange Caps and the Rights Plan Exchange Cap limit the number Common Shares that are exchangeable by the Reporting Persons for the Preferred Shares. F5 · balance_after: Shares of the Series B-1 Preferred Stock of the Subsidiary (the "Preferred Shares") may be exchanged at any time into the number of Common Shares of the Company, subject to certain restrictions including those set forth in Note (6) below, equal to, per Preferred Share, the quotient of the liquidation preference of the Preferred Share divided by $2.50 (the "Exchange Price"), subject to customary anti-dilution adjustments, provided that the Exchange Price may not be lower than $2.00 (subject to adjustment in certain circumstances). The Preferred Shares have no expiration date. F2 · ownership.direct: OHIF directly owns the securities reported herein. This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; F3 · ownership.direct: (Continued from footnote 2) (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (x) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 21:08 UTC | SunOpta Inc. STKL · Entity 49798 | OtherSpecial Shares, Series 2 | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-011442 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). F1 · kind: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). F1 · ownership.direct: Represents up to 6,000,0000 Special Shares, Series 2 (the "Special Voting Shares") that, subject to certain caps (the "Voting Trust Caps") as provided in the Voting Trust Agreement (as defined below), may be issued and deposited with OCM SunOpta Trustee LLC, an affiliate of the Reporting Persons (as defined below), as trustee (the "Trustee") for and on behalf of Oaktree Huntington Investment Fund II, L.P. ("OHIF") and other holders of Preferred Shares (as defined below) of SunOpta Foods Inc. (the "Subsidiary") from time to time pursuant to a voting trust agreement dated April 24, 2020 (the "Voting Trust Agreement"), among SunOpta Inc. (the "Company"), the Subsidiary, OHIF, Oaktree Organics, L.P. and the Trustee. The Special Shares serve as the mechanism for attaching exchanged voting to the Preferred Shares. As a result of the Voting Trust Caps, no Special Voting Shares have been issued to the Reporting Persons (as defined below). Read SEC document |
| December 15, 2017 Filed Dec 18, 2017 21:22 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 644,540 | $7.50 | $4,834,050.00 |
DisclosureSEC source: 0000899243-17-029017 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,358,565 F1 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2); F2 · ownership.direct: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc. and OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F4 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| May 12, 2017 Filed May 16, 2017 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 223,946 | $8.00 | $1,791,568.00 |
DisclosureSEC source: 0000899243-17-013379 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,025 F1 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2); F2 · ownership.direct: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F4 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| May 12, 2017 Filed May 16, 2017 21:42 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 223,946 | $8.00 | $1,791,568.00 |
DisclosureSEC source: 0000899243-17-013374 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,025 F1 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2); F2 · ownership.direct: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F4 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| May 12, 2017 Filed Dec 18, 2017 21:21 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 644,540 | $7.50 | $4,834,050.00 |
DisclosureSEC source: 0000899243-17-029015 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,358,565 F1 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2); F2 · ownership.direct: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc. and OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F4 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 02:12 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 184,596 | $6.95 | $1,282,942.20 |
DisclosureSEC source: 0000899243-17-006769 · doc4.xml · nonDerivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,079 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.40 to $6.96, inclusive. F2 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 3); F3 · ownership.direct: (Continued from footnote 2) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, David M. Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 02:09 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 184,596 | $6.95 | $1,282,942.20 |
DisclosureSEC source: 0000899243-17-006767 · doc4.xml · nonDerivative · entry 2 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,079 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.40 to $6.96, inclusive. F2 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 3); F3 · ownership.direct: (Continued from footnote 2) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, David M. Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| March 03, 2017 Filed Mar 8, 2017 02:12 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 305,483 | $6.87 | $2,098,668.21 |
DisclosureSEC source: 0000899243-17-006769 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,483 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $7.05, inclusive. The Reporting Persons undertake to provide to SunOpta Inc., any security holder of SunOpta Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1 and footnote 6. F2 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 3); F3 · ownership.direct: (Continued from footnote 2) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, David M. Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. Read SEC document |
| March 03, 2017 Filed Mar 8, 2017 02:09 UTC | SunOpta Inc. STKL · Entity 49798 | PurchaseCommon Stock | 305,483 | $6.87 | $2,098,668.21 |
DisclosureSEC source: 0000899243-17-006767 · doc4.xml · nonDerivative · entry 1 Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Huntington Investment Fund II GP, L.P. · CIK 0001687608 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,483 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $7.05, inclusive. The Reporting Persons undertake to provide to SunOpta Inc., any security holder of SunOpta Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1 and footnote 6. F2 · ownership.direct: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 3); F3 · ownership.direct: (Continued from footnote 2) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, David M. Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. 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.