SUNOPTA INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows, 13 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2026-05-01: Reporting owner Oaktree Organics, L.P. | Oaktree Huntington Investment Fund II, L.P. | Oaktree Capital Group Holdings GP, LLC | Oaktree Capital Holdings, LLC; Form 4; Security Series B-1 Preferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2021-02-22: Reporting owner OAKTREE HOLDINGS, LLC | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital Group Holdings GP, LLC | OCM HOLDINGS I, LLC | Oaktree Capital I, L.P. | Oaktree Organics, L.P. | OAKTREE FUND GP I, L.P. | Oaktree Fund GP, LLC | Partners Ltd | Oaktree Capital Group, LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2021-02-22: Reporting owner Oaktree Huntington Investment Fund II, L.P. | Partners Ltd; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2021-02-22: Reporting owner BROOKFIELD ASSET MANAGEMENT INC. | OCM HOLDINGS I, LLC | Oaktree Huntington Investment Fund II GP, L.P. | Oaktree Capital Group Holdings GP, LLC | Oaktree Capital Group, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | Oaktree Huntington Investment Fund II, L.P. | OAKTREE FUND GP I, L.P. | OAKTREE HOLDINGS, LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2026-05-01 | Oaktree Organics, L.P. | Oaktree Huntington Investment Fund II, L.P. | Oaktree Capital Group Holdings GP, LLC | Oaktree Capital Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See | S Open market or private sale of non-derivative or derivative security | −30,000 0 owned after | $2.50 exercise price | 2026-05-05 | |
| 2021-02-22 | OAKTREE HOLDINGS, LLC | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital Group Holdings GP, LLC | OCM HOLDINGS I, LLC | Oaktree Capital I, L.P. | Oaktree Organics, L.P. | OAKTREE FUND GP I, L.P. | Oaktree Fund GP, LLC | Partners Ltd | Oaktree Capital Group, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −71,196 0 owned after | $0.00 | 2021-02-22 | |
| 2021-02-22 | Oaktree Huntington Investment Fund II, L.P. | Partners Ltd 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −13,804 0 owned after | $0.00 | 2021-02-22 | |
| 2021-02-22 | BROOKFIELD ASSET MANAGEMENT INC. | OCM HOLDINGS I, LLC | Oaktree Huntington Investment Fund II GP, L.P. | Oaktree Capital Group Holdings GP, LLC | Oaktree Capital Group, LLC | Oaktree Fund GP, LLC | Oaktree Capital I, L.P. | Oaktree Huntington Investment Fund II, L.P. | OAKTREE FUND GP I, L.P. | OAKTREE HOLDINGS, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −13,804 0 owned after | $0.00 | 2021-02-22 | |
| 2020-04-30 holding as of filing | Engaged Capital Holdings, LLC | Welling Glenn W. | Engaged Capital Co-Invest IV-A, LP | Engaged Capital Co-Invest IV, LP | Engaged Capital Flagship Fund, L.P. | Engaged Capital Flagship Fund, Ltd. | Engaged Capital LLC | Engaged Capital Flagship Master Fund, LP 10% Owner | 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · By: Engaged Capital Flagship Master Fund, LP | Holding | no price filed | 2020-04-30 | ||
| 2020-04-30 holding as of filing | Engaged Capital Holdings, LLC | Welling Glenn W. | Engaged Capital Co-Invest IV-A, LP | Engaged Capital Co-Invest IV, LP | Engaged Capital Flagship Fund, L.P. | Engaged Capital Flagship Fund, Ltd. | Engaged Capital LLC | Engaged Capital Flagship Master Fund, LP 10% Owner | 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · By: Engaged Capital Co-Invest IV-A, LP | Holding | no price filed | 2020-04-30 | ||
| 2020-04-30 holding as of filing | Engaged Capital Holdings, LLC | Welling Glenn W. | Engaged Capital Co-Invest IV-A, LP | Engaged Capital Co-Invest IV, LP | Engaged Capital Flagship Fund, L.P. | Engaged Capital Flagship Fund, Ltd. | Engaged Capital LLC | Engaged Capital Flagship Master Fund, LP 10% Owner | 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · By: Managed Account of Engaged Capital, LLC | Holding | no price filed | 2020-04-30 | ||
| 2020-04-24 | OAKTREE FUND GP I, L.P. | OCM HOLDINGS I, LLC | Partners Ltd | BROOKFIELD ASSET MANAGEMENT INC. | Oaktree Capital Group Holdings GP, LLC | Oaktree Capital I, L.P. | Oaktree Fund GP, LLC | Oaktree Capital Group, LLC | Oaktree Organics, L.P. | OAKTREE HOLDINGS, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,539 12,539 owned after | $1,000.00 | 2020-04-28 | |
| 2020-04-24 | Partners Ltd | Oaktree Huntington Investment Fund II, L.P. 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,461 2,461 owned after | $1,000.00 | 2020-04-28 | |
| 2020-04-24 | BROOKFIELD ASSET MANAGEMENT INC. | OAKTREE FUND GP I, L.P. | Oaktree Capital I, L.P. | Oaktree Capital Group, LLC | Oaktree Huntington Investment Fund II, L.P. | Oaktree Fund GP, LLC | Oaktree Huntington Investment Fund II GP, L.P. | Oaktree Capital Group Holdings GP, LLC | OCM HOLDINGS I, LLC | OAKTREE HOLDINGS, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,461 2,461 owned after | $1,000.00 | 2020-04-28 | |
| 2016-10-17 holding as of filing | Oaktree Huntington Investment Fund II, L.P. | Oaktree Capital Group, LLC | Oaktree Capital Group Holdings GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-17 | ||
| 2016-10-17 holding as of filing | OAKTREE HOLDINGS, LLC | Oaktree Huntington Investment Fund II GP, L.P. | OAKTREE FUND GP I, L.P. | Oaktree Capital I, L.P. | Oaktree Fund GP, LLC | Oaktree Huntington Investment Fund II, L.P. | Oaktree Holdings, Inc. | OCM HOLDINGS I, LLC | OAKTREE CAPITAL MANAGEMENT LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-17 | ||
| 2016-10-17 holding as of filing | OCM HOLDINGS I, LLC | Oaktree Capital Group, LLC | Oaktree Fund GP, LLC | OAKTREE FUND GP I, L.P. | Oaktree Capital I, L.P. | OAKTREE HOLDINGS, LLC | Oaktree Capital Group Holdings GP, LLC | Oaktree Organics, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-17 |