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, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-04-24: Reporting owner 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; Form 4; Security Series B-1 Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-04-24: Reporting owner Partners Ltd | Oaktree Huntington Investment Fund II, L.P.; Form 4; Security Series B-1 Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-04-24: Reporting owner 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; Form 4; Security Series B-1 Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 |