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 | 25,000 | $ 8.23 | D | Â |
Stock Options | Â (2) | 05/13/2024 | Common shares | 9,326 | $ 11.3 | D | Â |
Stock Options | Â (3) | 05/12/2025 | Common shares | 11,990 | $ 10.08 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Davidson Joseph SUNOPTA INC. 7301 OHMS LANE, SUITE 600 EDINA, MN 55439 |
 |  |  SVP & GM |  |
/s/ Joseph Davidson | 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 two installments of 1,865 options became or will become exercisable on May 13, 2015 and 2016. The third installment of 1,866 options will become exercisable on May 13, 2017. The fourth and fifth installments of 1,865 options will become exercisable on May 13, 2018 and 2019. These options qualify as incentive stock options. |
(3) | These options will become exercisable in five equal annual installments on each of May 12, 2016, 2017, 2018, 2019 and 2020. These options qualify as incentive stock options. |