UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock options | Â (1) | 08/07/2023 | Common Shares | 27,500 | $ 8.23 | D | Â |
Stock options | Â (2) | 05/13/2024 | Common shares | 10,928 | $ 11.3 | D | Â |
Stock options | Â (3) | 05/12/2025 | Common shares | 14,568 | $ 10.08 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Coleman Michelle SUNOPTA INC. 7301 OHMS LANE, SUITE 600 EDINA, MN 55439 |
 |  |  Chief Human Resources Officer |  |
/s/ Michelle Coleman | 01/25/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These options became or will become exercisable in five equal annual installments on each of August 7, 2014, 2015, 2016, 2017 and 2018. These options qualify as incentive stock options. |
(2) | These options became or will become exercisable in five annual installments. The first installment of 2,186 options became exercisable on May 13, 2015. The second installment of 2,185 options will become exercisable on May 13, 2016. The third installment of 2,186 options will become exercisable on May 13, 2017. The fourth installment of 2,185 options will become exercisable on May 13, 2018. The fifth installment of 2,186 options will become exercisable on May 13, 2019. These options qualify as incentive stock options. |
(3) | These options will become exercisable in five annual installments. The first installment of 2,914 options will become exercisable on May 12, 2016. The second installment of 2,913 options will become exercisable on May 12, 2017. The third installment of 2,914 options will become exercisable on May 12, 2018. The fourth installment of 2,913 options will become exercisable on May 12, 2019. The fifth installment of 2,914 options will become exercisable on May 12, 2020. These options qualify as incentive stock options.   |