Oaktree Capital Group Holdings GP, LLC's Form 4 filing
SunOpta Inc. (STKL) · filed May 5, 2026
- Accession no.
- 0001193125-26-206884
- Filed
- May 5, 2026, 5:45 PM ET
- Trade date
- May 1, 2026
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 4 derivative transactions. Open-market sales total $134.2M. It was filed 4 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 |
|---|---|
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 10% Owner |
| Oaktree Huntington Investment Fund II, L.P.CIK 0001687181 | 10% Owner |
| Oaktree Organics, L.P.CIK 0001687182 | 10% Owner |
| Oaktree Capital Holdings, LLCCIK 0001790787 | 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| May 1, 2026 | Common Shares | SSaleDisposed | −20,651,812 | $6.50 | −$134,236,778 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 1, 2026 | Exchange Shares | SSaleDisposed | −12,178,666.4 | –F4 | – | 0 | Indirect | |
| May 1, 2026 | Special Shares, Series 2 | SSaleDisposed | −2,932,453 | $0.00 | $0 | 0 | Indirect | |
| May 1, 2026 | Common Shares | SSaleDisposed | −871,170 | –F7 | – | 0 | Indirect | |
| May 1, 2026 | Common Shares | SSaleDisposed | −4,404,034 | –F7 | – | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.