Engaged Capital LLC's Form 4 filing
SunOpta Inc. (STKL) · filed Jun 16, 2022
- Accession no.
- 0000921895-22-002018
- Filed
- Jun 16, 2022, 7:33 PM ET
- Trade date
- Jun 14-16, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $7.40M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Engaged Capital LLCCIK 0001559771 | 10% Owner |
| Engaged Capital Flagship Fund, L.P.CIK 0001559850 | Other: See Footnote 1 |
| Engaged Capital Flagship Master Fund, LPCIK 0001580761 | Other: See Footnote 1 |
| Engaged Capital Holdings, LLCCIK 0001580769 | 10% Owner |
| Welling Glenn W.CIK 0001580771 | 10% Owner |
| Engaged Capital Flagship Fund, Ltd.CIK 0001619827 | Other: See Footnote 1 |
| Engaged Capital Co-Invest IV-A, LPCIK 0001810615 | Other: See Footnote 1 |
| Engaged Capital Special Situation Fund, LPCIK 0001813061 | Other: See Footnote 1 |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 14, 2022 | Common Shares | SSaleDisposed | −602,837 | $7.01 | −$4,227,937.02 | 437,489 | Indirect | |
| Jun 15, 2022 | Common Shares | SSaleDisposed | −437,489 | $7.24 | −$3,167,070.37 | 0 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 16, 2022 | Common Shares | SSaleDisposed | 0 | – | – | 0 | Indirect | |
| Jun 16, 2022 | Common Shares | SSaleDisposed | 0 | – | – | 0 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.