Oaktree Capital Group Holdings GP, LLC 的 Form 4 申報
SunOpta Inc.（STKL），2026/5/5 申報
- 申報編號
- 0001193125-26-206884
- 申報時間
- 2026/5/5 17:45 ET
- 交易日
- 2026/5/1
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 1 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $1.34 億。交易後 4 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 持股 10% 以上大股東 |
| Oaktree Huntington Investment Fund II, L.P.CIK 0001687181 | 持股 10% 以上大股東 |
| Oaktree Organics, L.P.CIK 0001687182 | 持股 10% 以上大股東 |
| Oaktree Capital Holdings, LLCCIK 0001790787 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2026/5/1 | Common Shares | S賣出處分 | −20,651,812 | $6.50 | −$134,236,778 | 0 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 II 有 1 筆交易的價格引用這則附註。
- 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.
表 II 有 2 筆交易的價格引用這則附註。