Statistik Asas
| LEI | 54930010CP0KEPPRPA40 |
| CIK | 351834 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to SunOpta Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 6, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER FISCAL 2025 FINANCIAL RESULTS Revenue from continuing operations increased 13% to $191.5 million, driven by continued volume growth Earnings from continuing operations increased 198% to $4.4 million Adjusted EBITDA from continuing operations increased 14% to $22.7 million Adjusted EPS of $0.04 compared to $0.02 in the prior year R |
|
| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| August 6, 2025 |
Employment Agreement, effective June 16, 2025, between SunOpta Inc. and Danielle Duzan. Exhibit 10.3 EMPLOYMENT AGREEMENT This Employment Agreement ("Agreement") is between SunOpta Inc. (such entity together with all past, present, and future parents, divisions, operating companies, subsidiaries, and affiliates are referred to collectively herein as "Company") and Danielle Duzan ("Employee"). 1. EMPLOYMENT This Agreement commences June 16, 2025 ("Effective Date") and shall continue i |
|
| August 6, 2025 |
Employment Agreement, effective March 31, 2025, between SunOpta Inc. and Chris McCullough. Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement ("Agreement") is between SunOpta Inc. (such entity together with all past, present, and future parents, divisions, operating companies, subsidiaries, and affiliates are referred to collectively herein as "Company") and Chris McCullough ("Employee"). 1. EMPLOYMENT This Agreement commences March 31, 2025 ("Effective Date") and shall continu |
|
| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 28, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| August 6, 2025 |
Employment Agreement, effective May 5, 2025, between SunOpta Inc. and Jennifer Caro. Exhibit 10.2 EMPLOYMENT AGREEMENT This Employment Agreement ("Agreement") is between SunOpta Inc. (such entity together with all past, present, and future parents, divisions, operating companies, subsidiaries, and affiliates are referred to collectively herein as "Company") and Jennifer Caro ("Employee"). 1. EMPLOYMENT This Agreement commences May 5, 2025 ("Effective Date") and shall continue in e |
|
| May 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2025 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 7, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FIRST QUARTER FISCAL 2025 FINANCIAL RESULTS Revenue from continuing operations increased 9% to $202 million, driven by continued volume growth Earnings from continuing operations of $4.8 million compared to $3.8 million in the prior year Adjusted EBITDA from continuing operations increased 2% to $22.4 million Adjusted EPS of $0.04 compared to $0 |
|
| May 7, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporation |
|
| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 29, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exac |
|
| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 26, 2025 |
2024 Restricted Stock Unit Award Agreement. Exhibit 10.21 2024 RESTRICTED STOCK UNIT AWARD AGREEMENT (Employee) This Award Agreement (the "Agreement") is entered into as of April 30, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and , an employee of the Company or a subsidiary (the "Recipient"), for the award of restricted stock units with respect to the Company's Common Shares ("Common Shares" |
|
| February 26, 2025 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2025 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| February 26, 2025 |
Exhibit 19 Insider Trading Policy (Rev. January 2025) This Insider Trading Policy (the "Policy") provides guidelines with respect to transactions in the securities of SunOpta Inc. and its subsidiaries (the "Company") and the handling of confidential information about the Company and the companies with which the Company does business. The Company's Board of Directors has adopted this Policy to prom |
|
| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 28, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of Regi |
|
| February 26, 2025 |
SunOpta Inc. 2024 Long Term Incentive Plan. 2024 Long Term Incentive Plan Summary 2024 LONG TERM INCENTIVE PLAN Executive Summary Under the Amended 2013 Stock Incentive Plan (Plan), SunOpta Inc. |
|
| February 26, 2025 |
SunOpta Inc. 2024 Short Term Incentive Plan. 2024 Short Term Incentive Plan 2024 SHORT TERM INCENTIVE PLAN The following are the terms of the SunOpta Inc. |
|
| February 26, 2025 |
2024 Performance Share Unit Award Agreement. Exhibit 10.20 2024 PERFORMANCE SHARE UNIT AWARD AGREEMENT This 2024 Performance Share Unit Award Agreement (the "Agreement") is entered into as of April 30, 2024 between SunOpta Inc., a Canadian corporation (the "Company"), and [EMPLOYEE NAME] (the "Recipient"). On April 30, 2024 (the "Award Date") the Company's Board of Directors or the Compensation Committee of the Board of Directors (the "Board |
|
| February 26, 2025 |
2024 Incentive Stock Option Award Agreement. Exhibit 10.21 2024 INCENTIVE STOCK OPTION AWARD AGREEMENT Dear ###PARTICIPANTNAME###: Pursuant to the terms and conditions of the Company's Amended 2013 Stock Incentive Plan (the "Plan"), you have been granted Incentive Stock Options to purchase ###TOTALAWARDS### shares (the "Option") of stock as outlined below. Granted To: ###PARTICIPANTNAME### Employee #: ###EMPLOYEENUMBER### Grant Date: ###ISSU |
|
| February 26, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER AND FISCAL 2024 FINANCIAL RESULTS Revenue from continuing operations increased 9% to $193.9 million, driven by volume growth Loss from continuing operations of $4.6 million compared to a loss of $3.0 million in the prior year Adjusted EBITDA from continuing operations increased 20% to $26.1 million Delivered strong free cash flow |
|
| December 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| December 18, 2024 |
Exhibit 10.1 SEPARATION AGREEMENT AND FULL AND FINAL RELEASE This agreement (Agreement) is entered into between Chad Hagen (Employee) and SunOpta, Inc. (Company). 1. Termination of Employment Relationship. Employee and the Company will end their employment relationship on December 12, 2024 (the "Termination Date"). Employee no longer will be authorized to transact business or incur any expenses, o |
|
| November 12, 2024 |
November 12, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, NE Washington, D. |
|
| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| November 5, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES THIRD QUARTER FISCAL 2024 FINANCIAL RESULTS Revenue from continuing operations increased 16% to $176 million, driven by volume growth Loss from continuing operations of $5.5 million compared to a loss of $5.7 million in the prior year Adjusted EBITDA from continuing operations increased 13% to $21.5 million Reaffirming 2024 outlook Minneapolis, |
|
| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. ( |
|
| September 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 13, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorp |
|
| August 8, 2024 |
Calculation of Filing Fee Tables S-8 SunOpta Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common stock, no par value Other 144,404 $ 4.97 $ 717,687.88 0.0001476 $ 105.93 2 Equity Common stock, no par value Othe |
|
| August 8, 2024 |
As filed with the Securities and Exchange Commission on August 7, 2024 As filed with the Securities and Exchange Commission on August 7, 2024 Registration No. |
|
| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 29, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| August 7, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER FISCAL 2024 FINANCIAL RESULTS Revenue from continuing operations increased 21% to $171 million, driven by volume growth Loss from continuing operations of $3.8 million compared to a loss of $11.7 million in the prior year Adjusted EBITDA from continuing operations increased 12% to $20.6 million Raising 2024 revenue outlook Minneap |
|
| May 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exac |
|
| May 8, 2024 |
Employment Agreement, effective February 26, 2024, between SunOpta Inc. and Justin Kobler. Exhibit 10.4 EMPLOYMENT AGREEMENT This Employment Agreement ("Agreement") is between SunOpta Inc. (such entity together with all past, present, and future parents, divisions, operating companies, subsidiaries, and affiliates are referred to collectively herein as "Company") and Justin Kobler ("Employee"). 1. EMPLOYMENT This Agreement commences February 26, 2024 ("Effective Date") and shall continu |
|
| May 8, 2024 |
Exhibit 10.2 STOCK OPTION AWARD AGREEMENT This Stock Option Award Agreement (this "Agreement") is entered into as of January 2, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Optionee"). The Company and the Optionee agree as follows: 1. Grant. The Company hereby grants to the Optionee an option to purchase 230,804 common share |
|
| May 8, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FIRST QUARTER FISCAL 2024 FINANCIAL RESULTS Revenue from continuing operations increased 18% to $182.8 million, driven by volume growth Earnings from continuing operations of $3.8 million compared to a loss of $2.8 million in the prior year Adjusted EBITDA from continuing operations of $22.6 million, an increase of 21% Raising 2024 outlook Minne |
|
| May 8, 2024 |
Employment Agreement, effective March 25, 2024, between SunOpta Inc. and Lauren McNamara. Exhibit 10.6 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is between SunOpta Inc. (such entity together with all past, present, and future parents, divisions, operating companies, subsidiaries, and affiliates are referred to collectively herein as “Company”) and Lauren McNamara (“Employee”). 1. EMPLOYMENT This Agreement commences March 25, 2024 ("Effective Date") and shall continue |
|
| May 8, 2024 |
Exhibit 10.5 RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (the "Agreement") is entered into as of March 13, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Recipient"). IN CONSIDERATION of the mutual covenants and agreements set forth in this Agreement, the parties agree to the following: 1. |
|
| May 8, 2024 |
Exhibit 10.3 RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (the "Agreement") is entered into as of January 2, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Recipient"). IN CONSIDERATION of the mutual covenants and agreements set forth in this Agreement, the parties agree to the following: 1. |
|
| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporation |
|
| May 8, 2024 |
Exhibit 10.1 PERFORMANCE SHARE UNIT AWARD AGREEMENT This Performance Share Unit Award Agreement (the "Agreement") is entered into as of January 2, 2024 between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Recipient"). On January 2, 2024 (the "Award Date") the Company's Board of Directors or the Compensation Committee of the Board of Directors (the "Board") author |
|
| April 18, 2024 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| April 18, 2024 |
Third Amended and Restated Certificate of Incorporation of SunOpta Foods, Inc.. Exhibit 4.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SUNOPTA FOODS INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) SunOpta Foods Inc., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the "General Corporation Law"), DOES HEREBY CERTIFY: 1. That the na |
|
| April 18, 2024 |
SunOpta Amends Series B-1 Preferred Share Terms to Eliminate Dividend Exhibit 99.1 FOR IMMEDIATE RELEASE SunOpta Amends Series B-1 Preferred Share Terms to Eliminate Dividend Minneapolis, Minnesota - April 18, 2024 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) (TSX:SOY), a U.S.-based global pioneer fueling the future of sustainable, plant-based foods and beverages, today announced the elimination of the dividend rights attaching to the shares of Series B |
|
| April 18, 2024 |
AMENDING AGREEMENT THIS AMENDING AGREEMENT made as of the 17th day of April, 2024, BETWEEN: OAKTREE ORGANICS, L. |
|
| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 28, 2024 |
SunOpta Inc. 2023 Short Term Incentive Plan. 2023 Short Term Incentive Plan 2023 SHORT TERM INCENTIVE PLAN The following are the terms of the SunOpta Inc. |
|
| February 28, 2024 |
Exhibit 97 SUNOPTA INC. CLAWBACK POLICY (Approved October 24, 2023) 1. Introduction. The Board of Directors (the "Board") of SunOpta Inc. (the "Company") believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company's pay-for-performance compensation philosophy. Therefore, |
|
| February 28, 2024 |
SunOpta Inc. 2023 Long Term Incentive Plan. 2023 Long Term Incentive Plan Summary 2023 LONG TERM INCENTIVE PLAN Executive Summary Under the Amended 2013 Stock Incentive Plan (Plan), SunOpta Inc. |
|
| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of Regi |
|
| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| February 28, 2024 |
Exhibit 4.7 Description of Registrant's Securities Registered Under Section 12 of the Securities Exchange Act of 1934 As of the date of this report, SunOpta Inc. (the "Company," "we," "us" or "our") had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (i) Common Shares, no par value (the "Common Shares"), and (ii) Common |
|
| February 28, 2024 |
Employment Agreement, effective January 19, 2024, between SunOpta Inc. and Chad Hagen. EMPLOYMENT AGREEMENT This Employment Agreement ("Agreement") is between SunOpta Inc. |
|
| February 28, 2024 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| February 28, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER AND FISCAL 2023 FINANCIAL RESULTS Revenue from continuing operations increased 13.7% to $181.6 million, driven by volume growth Loss from continuing operations of $1.8 million, compared to $0.4 million in the prior year Adjusted EBITDA from continuing operations of $22.3 million, an increase of 17.5% Re-affirming 2024 outlook Minn |
|
| February 15, 2024 |
7301 Ohms Lane, Suite 600 | Edina, MN | 55439 T: 952.820.2518 F: 952.820.2518 Exhibit 10.1 February 13, 2024 PRIVATE & CONFIDENTIAL Chris Whitehair Address Omitted Address Omitted Dear Chris: Further to our discussions regarding your upcoming retirement, this letter will confirm our agreement that your employment with SunOpta Inc. ("SunOpta" or the "Company") will cease on December 31, 2024 (the "Departure Date"). This letter (the "Amendment") will serve to amend certain ob |
|
| February 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| December 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| December 14, 2023 |
SUNOPTA ANNOUNCES NEW CREDIT AGREEMENT The credit agreement has a term of five years Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES NEW CREDIT AGREEMENT The credit agreement has a term of five years Minneapolis, Minnesota - December 13, 2023 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) (TSX:SOY), a U.S.-based global pioneer fueling the future of sustainable, plant-based foods and beverages, today announced that on December 8, 2023, the Company entered into a new |
|
| December 14, 2023 |
Exhibit 10.1 Execution Version Deal CUSIP : C8626RAA2 Revolver CUSIP: C8626RAB0 Term CUSIP: C8626RAC8 CREDIT AGREEMENT dated as of December 8, 2023, among SUNOPTA INC., as Borrower, Certain of the Borrower's subsidiaries from time to time party hereto as Guarantors, VARIOUS LENDERS, BANK OF AMERICA, N.A., as ADMINISTRATIVE AGENT, COLLATERAL AGENT and ISSUING BANK, JPMORGAN CHASE BANK, N.A. as SYND |
|
| December 7, 2023 |
Exhibit 10.5 PERFORMANCE SHARE UNIT AWARD AGREEMENT This Performance Share Unit Award Agreement (the "Agreement") is entered into as of January 2, 2024 between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Recipient"). On January 2, 2024 (the "Award Date") the Company's Board of Directors or the Compensation Committee of the Board of Directors (the "Board") author |
|
| December 7, 2023 |
December 5, 2023 PRIVATE & CONFIDENTIAL Joe Ennen Address Omitted Dear Joe: As a follow-up to our discussions regarding your intent to retire, this letter (the "Amendment") will serve to amend certain provisions of the Employment Agreement, dated March 29, 2019, between you and SunOpta Inc. |
|
| December 7, 2023 |
Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT made as of December 1, 2023 between Brian W. Kocher (the "Executive") and SunOpta Inc., a corporation existing under the laws of Canada (the "Company"); WHEREAS effective as of January 2, 2024 (the "Effective Date"), the Company wishes to employ the Executive as the Chief Executive Officer of the Company pursuant to th |
|
| December 7, 2023 |
Exhibit 10.4 STOCK OPTION AWARD AGREEMENT This Stock Option Award Agreement (this "Agreement") is entered into as of January 2, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Optionee"). The Company and the Optionee agree as follows: 1. Grant. The Company hereby grants to the Optionee an option to purchase common shares of the |
|
| December 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| December 7, 2023 |
Exhibit 10.3 RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (the "Agreement") is entered into as of January 2, 2024 (the "Award Date") by and between SunOpta Inc., a Canadian corporation (the "Company"), and Brian W. Kocher (the "Recipient"). IN CONSIDERATION of the mutual covenants and agreements set forth in this Agreement, the parties agree to the following: 1. |
|
| December 7, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES CEO RETIREMENT AND APPOINTS BRIAN W. KOCHER AS SUCCESSOR Reaffirms Outlook for Q4 2023 and 2024 Minneapolis, Minnesota - December 6, 2023 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) (TSX:SOY), a U.S.-based global pioneer fueling the future of sustainable, plant-based foods and beverages, today announced the planned retirement of Jo |
|
| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. ( |
|
| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| November 8, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES THIRD QUARTER FISCAL 2023 FINANCIAL RESULTS Revenue from continuing operations increased 5.9% to $152.5 million, driven by 5.5% volume growth Loss from continuing operations of $5.7 million, compared to earnings of $2.4 million in the prior year Adjusted EBTIDA from continuing operations increased 8.1% to $19.1 million Maintains Q4 outlook for c |
|
| October 18, 2023 |
SUNOPTA INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.2 SUNOPTA INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS On October 12, 2023, SunOpta Inc. (the "Company") entered into an Asset Purchase Agreement ("APA") with Natures Touch Mexico, S. de R.L. de C.V. and Nature's Touch Frozen Fruits, LLC (the "Purchasers") to sell to the Purchasers certain assets and liabilities of the Company's frozen fruit business ("Frozen Fru |
|
| October 18, 2023 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorp |
|
| October 17, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SALE OF FROZEN FRUIT ASSETS FOR AN AGGREGATE PURCHASE PRICE OF $141 MILLION ALONG WITH PRELIMINARY RESULTS FOR THIRD QUARTER FISCAL 2023 AND CFO TRANSITION Divestiture of the frozen fruit business completes portfolio optimization that began in 2020 to focus the business on core value added, high-growth, high-margin categories Net proceeds will b |
|
| October 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| October 17, 2023 |
Exhibit 2.1 EXECUTION COPY CONFIDENTIAL ASSET PURCHASE AGREEMENT DATED AS OF OCTOBER 12, 2023 AMONG SUNOPTA INC., SUNRISE GROWERS MEXICO, S. DE R.L. DE C.V., SUNOPTA MX, S.A. DE C.V., SUNRISE GROWERS, INC., NATURE'S TOUCH FROZEN FRUITS, LLC AND NATURES TOUCH MEXICO, S. DE R.L. DE C.V. TABLE OF CONTENTS Page Article I Purchase and Sale of the Assets; Closing and Manner of Payment 1 1.1 Purchase and |
|
| October 17, 2023 |
Executive Employment Agreement made as of October 11, 2023 between Greg Gaba and SunOpta Inc. Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS AGREEMENT made as of October 11, 2023 between Greg Gaba (the "Executive") and SunOpta Inc., a corporation existing under the laws of Canada (the "Company") WHEREAS, effective as of October 13, 2023 (the "Effective Date"), the Company wishes to employ the Executive as the Chief Financial Officer of the Company pursuant to the terms and conditions set |
|
| August 11, 2023 |
Exhibit 107.1 CALCULATION OF REGISTRATION FEE FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SUNOPTA INC. (Exact Name of Registrant as Specified in Its Charter) Table 1: Newly Registered Securities Security Type Security Class Title(1) Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price (2) Fee Rate Amount of Re |
|
| August 11, 2023 |
As filed with the Securities and Exchange Commission on August 10, 2023 As filed with the Securities and Exchange Commission on August 10, 2023 Registration No. |
|
| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 1, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| August 10, 2023 |
Exhibit 4.1 BY-LAW NO. 14 A By-law relating generally to the conduct of the affairs of SUNOPTA INC. (hereinafter called the "Company") BE IT ENACTED and it is hereby enacted as a by-law of the Company as follows: INTERPRETATION 1. In this by-law, and all other by-laws of the Company, unless the context otherwise specifies or requires: (a) "Act" means the Canada Business Corporations Act, R.S.C. 19 |
|
| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| August 9, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER FISCAL 2023 FINANCIAL RESULTS Revenue declined 6.5% (adjusted for the divested Sunflower business), despite double digit growth in oat milk and fruit snacks Net Loss of $18.8 million, including tax expense of $8.8 million mainly due to the recognition of a full valuation allowance for deferred tax assets and $2.5 million of net ex |
|
| May 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 18, 2023 |
STKL / Sunopta, Inc. / Oaktree Fund GP, LLC - SC 13D/A Activist Investment SC 13D/A 1 d504438dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-l(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 10)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Num |
|
| May 18, 2023 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 2 d504438dex991.htm EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D |
|
| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 1, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| May 10, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FIRST QUARTER 2023 FINANCIAL RESULTS Plant-Based revenue grew 9.3% (excluding the divested Sunflower business) Consolidated gross profit margin increased 80 basis points, or 320 basis points adjusted for start-up costs Net earnings from continuing operations of $1.4 million vs. $1.0 million a year ago Adjusted EBITDA increased 50.5% to $23.6 mil |
|
| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 11)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged c |
|
| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| March 7, 2023 |
Exhibit 107: Calculation of Filing Fee Tables S-3 (Form Type) SunOpta Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form |
|
| March 7, 2023 |
As filed with the Securities and Exchange Commission on March 6, 2023. As filed with the Securities and Exchange Commission on March 6, 2023. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 Registration Statement under the Securities Act of 1933 SUNOPTA INC. (Exact name of registrant as specified in its charter) CANADA Not Applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
|
| March 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 10)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged c |
|
| March 1, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER AND FISCAL 2022 FINANCIAL RESULTS Plant-Based revenue growth accelerated by 23.5% [excluding the divested Sunflower business] Consolidated gross profit increased 56.4% Net loss from continuing operations of $0.9 million vs. $6.1 million net loss a year ago Adjusted EBITDA increased 122.7% to $23.5 million Reaffirms 2023 Adjusted E |
|
| March 1, 2023 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of Regi |
|
| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2023 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporati |
|
| March 1, 2023 |
EX-4.8 2 exhibit4-8.htm EXHIBIT 4.8 Exhibit 4.8 Description of Registrant's Securities Registered Under Section 12 of the Securities Exchange Act of 1934 As of the date of this report, SunOpta Inc. (the "Company," "we," "us" or "our") had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (i) Common Shares, no par value (t |
|
| February 14, 2023 |
STKL / SunOpta Inc. / NOMURA HOLDINGS INC - SC 13G/A Passive Investment SC 13G/A 1 brhc1004778713ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SunOpta Inc. (Name of Issuer) Common shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box |
|
| January 12, 2023 |
STKL / SunOpta Inc. / Engaged Capital LLC - AMENDMENT NO. 9 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 9)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) GLENN W. WELLING ENGAGED CA |
|
| November 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| November 10, 2022 |
2022 Short Term Incentive Plan 2022 SHORT TERM INCENTIVE PLAN The following are the terms of the SunOpta Inc. |
|
| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 1, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exa |
|
| November 10, 2022 |
2022 Long Term Incentive Plan Summary 2022 LONG TERM INCENTIVE PLAN Executive Summary Under the Amended 2013 Stock Incentive Plan (Plan), SunOpta Inc. |
|
| November 9, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES THIRD QUARTER 2022 FINANCIAL RESULTS Continued strong revenue growth of 15.7% vs. prior year to $229.7 million Gross margin expanded 190 basis points to 13.7% Net loss from continuing operations of $12.6 million, including $14.2 million net loss from asset dispositions Adjusted EBITDA increased 41.7% vs. prior year to $22.1 million Raising 2022 |
|
| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| August 31, 2022 |
STKL / SunOpta Inc. / Engaged Capital LLC - AMENDMENT NO. 8 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 8)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) GLENN W. WELLING ENGAGED CA |
|
| August 18, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the common shares, no par value per share, of SunOpta Inc. This Joint Filing Agreement shall be filed a |
|
| August 18, 2022 |
STKL / SunOpta Inc. / Engaged Capital LLC - AMENDMENT NO. 7 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 7)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged ca |
|
| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 2, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| August 10, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER 2022 FINANCIAL RESULTS Revenue increased 20.4% vs. prior year to $243.5 million Gross profit increased $8.6 million to $34.9 million and gross margin expanded 130 basis points to 14.3% Net earnings from continuing operations of $2.5 million compared to a net loss of $0.9 million in the prior year Adjusted EBITDA increased 38.4% to |
|
| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpora |
|
| May 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 2, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporation |
|
| May 9, 2022 |
Form of Stock Option Award Agreement, dated May 5, 2022, between the Company and Joseph Ennen Exhibit 10.1 2022 INCENTIVE STOCK OPTION AWARD AGREEMENT Dear Joseph Ennen: Pursuant to the terms and conditions of the Company's Amended 2013 Stock Incentive Plan (the "Plan"), you have been granted Incentive Stock Options to purchase 1,017,036 shares (the "Option") of stock as outlined below. Granted To: Joseph Ennen Employee #: ###EMPLOYEENUMBER### Grant Date: May 5, 2022 Options Granted: 1,017 |
|
| May 9, 2022 |
Form of Performance Share Unit Award Agreement, dated May 5, between the Company and Joseph Ennen Exhibit 10.2 2022 PERFORMANCE SHARE UNIT AWARD AGREEMENT This 2022 Performance Share Unit Award Agreement (the "Agreement") is entered into as of May 5, 2022 between SunOpta Inc., a Canadian corporation (the "Company"), and Joseph Ennen (the "Recipient"). On May 5, 2022 (the "Award Date") the Company's Board of Directors or the Compensation Committee of the Board of Directors (the "Board") authori |
|
| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| March 4, 2022 |
STKL / SunOpta Inc. / Engaged Capital LLC - AMENDMENT NO. 6 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 6)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged ca |
|
| March 4, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the common shares, no par value per share, of SunOpta Inc. This Joint Filing Agreement shall be filed a |
|
| March 2, 2022 |
Exhibit 10.35 Execution Copy THIRD AMENDMENT THIRD AMENDMENT, dated as of February 25, 2022 (this "Amendment"), to the Second Amended and Restated Credit Agreement, dated as of December 31, 2020 (as amended by the First Amendment, dated as of April 15, 2021, the Second Amendment, dated July 2, 2021 and as further amended, supplemented or modified from time to time prior to the date hereof, the "Cr |
|
| March 2, 2022 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| March 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of Regist |
|
| February 24, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER AND FISCAL 2021 FINANCIAL RESULTS Plant-based Q4 revenue increased 9.2%, excluding the extra week in the year-earlier period Fiscal year 2021 Plant-based revenue increased 13.4% over prior year Strong sequential revenue and gross profit growth expected in Q1, 2022 Minneapolis, Minnesota February 24, 2022 - SunOpta Inc. ("SunOpta" |
|
| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2022 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| February 14, 2022 |
STKL / SunOpta Inc. / NOMURA HOLDINGS INC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SunOpta Inc. (Name of Issuer) Common shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
|
| February 11, 2022 |
STKL / SunOpta Inc. / BARROW HANLEY MEWHINNEY & STRAUSS LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SunOpta Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Schedule is fil |
|
| November 10, 2021 |
SunOpta Inc. 2021 Long Term Incentive Plan 2021 Long Term Incentive Plan Summary 2021 LONG TERM INCENTIVE PLAN Executive Summary Under the Amended 2013 Stock Incentive Plan (Plan), SunOpta Inc. |
|
| November 10, 2021 |
SunOpta Inc. 2021 Short Term Incentive Plan 2021 Short Term Incentive Plan 2021 SHORT TERM INCENTIVE PLAN The following are the terms of the SunOpta Inc. |
|
| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| November 10, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES THIRD QUARTER FISCAL 2021 FINANCIAL RESULTS Plant-Based revenue growth of 16.0%, driving 3.6% total Revenue growth Loss from continuing operations was $3.0 million vs. loss of $3.9 million in Q3 2020 Adjusted EBITDA increased 8.4% to $15.6 million Minneapolis, Minnesota November 10, 2021 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) |
|
| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 2, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exa |
|
| September 22, 2021 | ||
| September 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 7, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| September 22, 2021 | ||
| September 22, 2021 | ||
| August 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpora |
|
| August 19, 2021 |
Exhibit 10.2 GUARANTY THIS GUARANTY OF LEASE (this "Guaranty") is made as of August 13, 2021 by SUNOPTA, INC., a Canadian corporation ("Guarantor"), in favor of CORNERSTONE DEVELOPMENT PARTNERS, LLC, a Delaware limited liability company ("Landlord"). WHEREAS, SUNOPTA GRAINS AND FOODS, INC., a Minnesota corporation, ("Tenant") and Landlord desire to enter into that certain Lease Agreement (the "Lea |
|
| August 19, 2021 |
Exhibit 10.1 LEASE AGREEMENT BETWEEN CORNERSTONE DEVELOPMENT PARTNERS, LLC, an Ohio limited liability company, AS LANDLORD, AND SUNOPTA GRAINS AND FOODS INC., A MINNESOTA CORPORATION AS TENANT EFFECTIVE DATE: August 13, 2021 TABLE OF CONTENTS ARTICLE 1 BASIC TERMS 1 1.01 Basic Terms and Definitions 1 ARTICLE 2 LEASE TERM 3 2.01 Lease of Premises 3 2.02 Early Occupancy 3 2.03 Holding Over 3 2.04 Op |
|
| August 11, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER FISCAL 2021 FINANCIAL RESULTS Plant-Based revenue growth of 21.4%, driving 9.7% total Revenue growth Loss from continuing operations was $0.9 million vs. loss of $5.1 million in PY Adjusted EBITDA increased 60.8% to $16.1 million Minneapolis, Minnesota August 11, 2021 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) (TSX: |
|
| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 3, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| August 11, 2021 |
Exhibit 10.2 SECOND AMENDMENT SECOND AMENDMENT, dated as of July 2, 2021 (this "Amendment"), to the Second Amended and Restated Credit Agreement, dated as of December 31, 2020 (as amended by the First Amendment, dated as of April 15, 2021, and as further amended, supplemented or modified from time to time prior to the date hereof, the "Credit Agreement"; and the Credit Agreement as amended by this |
|
| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpora |
|
| July 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| July 2, 2021 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of the unde |
|
| July 2, 2021 |
STKL / SunOpta Inc. / Oaktree Fund GP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) Todd E. Molz Managing Director, General Counsel and Chief Administrative Officer Oaktree Capital Group Holdings GP, LLC 333 South Grand Aven |
|
| June 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 21, 2021 |
Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 21, 2021 |
May 21, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated May 21, 2021, of SunOpta Inc. and are in agreement with the statements contained in Item 4.01(a) therein. We have no basis to agree or disagree with other statements of the registrant contained therein. Chartered Accountants Licensed Public Accounta |
|
| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporatio |
|
| May 12, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FIRST QUARTER FISCAL 2021 FINANCIAL RESULTS Record quarterly Plant-Based revenue of $119.5 million, a 12.4% increase YOY Gross margin improved 130 basis points Earnings from continuing operations of $1.7 million vs. $4.0 million loss in PY Adjusted EBITDA increased 33.5% to $18.3 million Minneapolis, Minnesota May 12, 2021 - SunOpta Inc. ("SunOp |
|
| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 3, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| April 19, 2021 |
Exhibit 10.1 Execution Copy FIRST AMENDMENT FIRST AMENDMENT, dated as of April 15, 2021 (this "Amendment"), to the Second Amended and Restated Credit Agreement, dated as of December 31, 2020 (the "Credit Agreement"), among SunOpta Inc. (the "Company" or "Canadian Parent Borrower"; as further defined in the Amended Credit Agreement (as defined below)), SunOpta Foods Inc. (the "U.S. Parent Borrower" |
|
| April 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| April 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 3, 2021 |
EX-99.1 2 exhibit99-1.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER FISCAL 2020 FINANCIAL RESULTS Revenue from continuing operations increased 10.4%, with growth across both segments Gross margin from continuing operations improved 360 basis points Adjusted EBITDA increased 84% to $20.6 million ($26.5 million with divested Global Ingredients segment) MINNEAPO |
|
| March 3, 2021 |
Exhibit 4.13 Description of Registrant's Securities Registered Under Section 12 of the Securities Exchange Act of 1934 As of the date of this report, SunOpta Inc. (the "Company," "we," "us" or "our") had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (i) Common Shares, no par value (the "Common Shares"), and (ii) Commo |
|
| March 3, 2021 |
As filed with the Securities and Exchange Commission on March 3, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 Registration Statement under the Securities Act of 1933 SUNOPTA INC. (Exact name of registrant as specified in its charter) CANADA Not Applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
|
| March 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 2, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of Regist |
|
| March 3, 2021 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| March 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporati |
|
| February 16, 2021 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
|
| February 16, 2021 |
240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* (Name of Issuer) SunOpta Inc. (Title of Class of Securities) Common Stock, No Par Value (CUSIP Number) |
|
| February 16, 2021 |
SC 13D/A 1 d123060dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) Todd E. Molz Managing Director, General Counsel and Chief Administrative Officer Oaktree Capital Grou |
|
| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 3) Under the Securities Exchange Act of 1934 SunOpta Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
|
| February 12, 2021 |
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP EX-2 3 ex2.htm EXHIBIT 2 EXHIBIT 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Ardsley Advisory Partners LP Ardsley Advisory Partners GP LLC Ardsley Partners I GP LLC Philip J. Hempleman Ardsley Duckdive Fund, L.P. Ardsley Partners Healthcare Fund, L.P. Ardsley Partners Renewable Energy Fund, L.P. Ardsley Ridgecrest Partners Fund, L.P. |
|
| February 12, 2021 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of this Schedule 13G/A (including amendments thereto) with respect to the Common Stock of Sunopta Inc. |
|
| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2021 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SunOpta Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Schedule is fil |
|
| January 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| January 5, 2021 |
Execution Copy SECOND RESTATEMENT AGREEMENT SECOND RESTATEMENT AGREEMENT, dated as of December 31, 2020 (this "Restatement Agreement"), among SunOpta Inc. |
|
| January 5, 2021 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES COMPLETION OF GLOBAL INGREDIENTS SALE, FULL REDEMPTION OF $223. |
|
| January 5, 2021 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS On December 30, 2020 (the "Closing Date"), SunOpta Inc. |
|
| December 8, 2020 |
Regulation FD Disclosure - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| November 30, 2020 |
EXECUTION VERSION MASTER PURCHASE AGREEMENT relating to the sale and purchase of 100% of the issued and outstanding shares in the capital of THE ORGANIC CORPORATION B. |
|
| November 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 25, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| November 12, 2020 |
EXECUTION VERSION SIGNING PROTOCOL THIS AGREEMENT (the Signing Protocol) IS MADE ON 10 NOVEMBER BETWEEN: (1) COÖPERATIE SUNOPTA U. |
|
| November 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| November 12, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES AGREEMENT TO SELL ITS GLOBAL INGREDIENTS SEGMENT TO AMSTERDAM COMMODITIES N. |
|
| October 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 26, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. ( |
|
| October 30, 2020 |
SunOpta Inc. 2020 Short Term Incentive Plan 2020 Short Term Incentive Plan 2020 SHORT TERM INCENTIVE PLAN The following are the terms of the SunOpta Inc. |
|
| October 30, 2020 |
SunOpta Inc. 2020 Long Term Incentive Plan Summary 2020 Long Term Incentive Plan Summary 2020 LONG TERM INCENTIVE PLAN Executive Summary Under the Amended 2013 Stock Incentive Plan (Plan), the Company is authorized to issue a variety of forms of equity awards, including stock options, Restricted Stock Units (RSUs) and Performance Share Units (PSUs). |
|
| October 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| October 29, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES THIRD QUARTER FISCAL 2020 FINANCIAL RESULTS Adjusted EBITDA more than doubled YOY for the fourth consecutive quarter Revenue increased 6. |
|
| August 20, 2020 |
CA:SOY / SunOpta Inc / Oaktree Fund GP, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) Todd E. Molz Managing Director, General Counsel and Chief Administrative Officer Oaktree Capital Group Holdings GP, LLC 333 South G |
|
| August 10, 2020 |
As filed with the Securities and Exchange Commission on August 7, 2020 Registration No. |
|
| August 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| August 5, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES SECOND QUARTER FISCAL 2020 FINANCIAL RESULTS Adjusted EBITDA more than doubled YOY for the third consecutive quarter propelled by 6. |
|
| August 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 27, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exact |
|
| June 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporati |
|
| May 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 5)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged ca |
|
| May 26, 2020 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the common shares, no par value per share, of SunOpta Inc. This Joint Filing Agreement shall be filed a |
|
| May 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 28, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-34198 SUNOPTA INC. (Exac |
|
| May 6, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FIRST QUARTER FISCAL 2020 FINANCIAL RESULTS Revenue increased 13% adjusted for dispositions, acquisitions, foreign exchange and commodities All segments delivered revenue growth, on an adjusted basis, and gross margin improvement Adjusted EBITDA more than doubled YOY Toronto, May 6, 2020 - SunOpta Inc. |
|
| May 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporation |
|
| May 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 29, 2020 |
TSX:SOY / Sunopta Inc. / Oaktree Fund GP, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) Todd E. Molz Managing Director, General Counsel and Chief Administrative Officer Oaktree Capital Group Holdings GP, LLC 333 South G |
|
| April 28, 2020 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| April 28, 2020 |
SUNOPTA CLOSES INITIAL US$30 MILLION PREFERRED EQUITY FINANCING FOR IMMEDIATE RELEASE SUNOPTA CLOSES INITIAL US$30 MILLION PREFERRED EQUITY FINANCING Toronto, April 27, 2020 - SunOpta Inc. |
|
| April 28, 2020 |
The Articles of the Corporation are amended as follows: (a) by increasing the authorized capital of the Corporation by the creation of an unlimited number of Special Shares, Series 2; (b) by providing that, after giving effect to the foregoing, the authorized capital of the Corporation shall consist of: (i) an unlimited number of common shares; (ii) an unlimited number of special shares issuable in series; (iii) an unlimited number of Special Shares, Series 1; and (iv) an unlimited number of Special Shares, Series 2. |
|
| April 28, 2020 |
INVESTOR RIGHTS AGREEMENT ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and SUNOPTA INC. |
|
| April 28, 2020 |
Execution Version AMENDED AND RESTATED OBSERVER GOVERNANCE AND CONFIDENTIALITY AGREEMENT ZACHARY SEREBRENIK and SUNOPTA INC. |
|
| April 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| April 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) GLENN W. WELLING ENGAGED CA |
|
| April 28, 2020 |
Execution Version EXCHANGE AND SUPPORT AGREEMENT SUNOPTA INC. and SUNOPTA FOODS INC. and OAKTREE ORGANICS, L.P. and OAKTREE HUNTINGTON INVESTMENT FUND II, L.P. and ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and ANY PERSON THAT BECOMES A HOLDER OF PREFERRED SHARES April 24, 2020 TABLE OF CONTENTS ARTICLE I INTERPRETATION 2 1.1 Defined Te |
|
| April 28, 2020 |
EXCHANGE AND SUPPORT AGREEMENT SUNOPTA INC. and SUNOPTA FOODS INC. and OAKTREE ORGANICS, L.P. and OAKTREE HUNTINGTON INVESTMENT FUND II, L.P. and ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and ANY PERSON THAT BECOMES A HOLDER OF PREFERRED SHARES April 24, 2020 TABLE OF CONTENTS ARTICLE I INTERPRETATION 2 1.1 Defined Terms 2 1.2 Defined |
|
| April 28, 2020 |
Execution Version INVESTOR RIGHTS AGREEMENT ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and SUNOPTA INC. |
|
| April 28, 2020 |
Execution Version VOTING TRUST AGREEMENT SUNOPTA INC. and SUNOPTA FOODS INC. and ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and ENGAGED CAPITAL HOLDINGS, LLC and ANY AFFILIATE OF AN INVESTOR THAT BECOMES A HOLDER OF SERIES B PREFERRED SHARES April 24, 2020 TABLE OF CONTENTS ARTICLE 1 INTERPRETATION 1.1 Defined Terms 1 1.2 Defined Terms |
|
| April 28, 2020 |
Execution Version AMENDED AND RESTATED INVESTOR RIGHTS AGREEMENT OAKTREE ORGANICS, L. |
|
| April 28, 2020 |
Execution Version VOTING TRUST AGREEMENT SUNOPTA INC. and SUNOPTA FOODS INC. and OAKTREE ORGANICS, L.P. and OAKTREE HUNTINGTON INVESTMENT FUND II, L.P. and OCM SUNOPTA TRUSTEE, LLC and ANY AFFILIATE OF AN INVESTOR THAT BECOMES A HOLDER OF SERIES B PREFERRED SHARES April 24, 2020 TABLE OF CONTENTS ARTICLE 1 INTERPRETATION 1.1 Defined Terms 2 1.2 Defined Terms in the Series B Preferred Share Terms 5 |
|
| April 28, 2020 |
Execution Version VOTING TRUST AGREEMENT SUNOPTA INC. and SUNOPTA FOODS INC. and ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and ENGAGED CAPITAL HOLDINGS, LLC and ANY AFFILIATE OF AN INVESTOR THAT BECOMES A HOLDER OF SERIES B PREFERRED SHARES April 24, 2020 TABLE OF CONTENTS Article 1 INTERPRETATION 1.1 Defined Terms 2 1.2 Defined Terms |
|
| April 28, 2020 |
Exhibit 10.8 Execution Version FOURTH SUPPLEMENTAL INDENTURE This SUPPLEMENTAL INDENTURE, dated as of April 23, 2020, is by and among SunOpta Foods Inc., a Delaware corporation (the "Issuer"), SunOpta Inc., a Canadian corporation and the direct parent company of the Issuer (the "Company"), the other guarantors party hereto (together with the Company, the "Guarantors") and U.S. Bank National Associ |
|
| April 28, 2020 |
SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SUNOPTA FOODS INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) SunOpta Foods Inc., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the "General Corporation Law"), DOES HEREBY CERTIFY: 1. That the name of this |
|
| April 21, 2020 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.2 Exhibit 99.2 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of |
|
| April 21, 2020 |
TSX:SOY / Sunopta Inc. / Oaktree Fund GP, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* SunOpta Inc. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 8676EP108 (CUSIP Number) Todd E. Molz Managing Director, General Counsel and Chief Administrative Officer Oaktree Capital Group Holdings GP, LLC 333 South G |
|
| April 20, 2020 |
SUNOPTA SECURES US$60 MILLION EQUITY COMMITMENT FOR IMMEDIATE RELEASE SUNOPTA SECURES US$60 MILLION EQUITY COMMITMENT Toronto, April 16, 2020 - SunOpta Inc. |
|
| April 20, 2020 |
Execution Version SECURITIES SUBSCRIPTION AGREEMENT OAKTREE ORGANICS, L.P. and OAKTREE HUNTINGTON INVESTMENT FUND II, L.P., and ENGAGED CAPITAL FLAGSHIP MASTER FUND, LP and ENGAGED CAPITAL, LLC and ENGAGED CAPITAL CO-INVEST IV-A, LP and SUNOPTA INC. and SUNOPTA FOODS INC. April 15, 2020 TABLE OF CONTENTS ARTICLE 1 INTERPRETATION 1.1 Defined Terms 2 1.2 Rules of Construction 9 1.3 Entire Agreement |
|
| April 20, 2020 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| April 17, 2020 |
Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the common shares, no par value per share, of SunOpta Inc. This Joint Filing Agreement shall be filed a |
|
| April 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 SunOpta Inc. (Name of Issuer) Common Shares, no par value per share (Title of Class of Securities) 8676EP108 (CUSIP Number) glenn w. welling engaged ca |
|
| April 17, 2020 | ||
| March 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorporat |
|
| March 19, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA PROVIDES UPDATE ON PERFORMANCE EXPECTATIONS Q1 2020 Adjusted EBITDA expected to double YOY excluding disposed operations Toronto, March 19, 2020 - SunOpta Inc. |
|
| February 27, 2020 |
Exhibit 4.11 Description of Registrant's Securities Registered Under Section 12 of the Securities Exchange Act of 1934 As of the date of this report, SunOpta Inc. (the "Company," "we," "us" or "our") had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (i) Common Shares, no par value (the "Common Shares"), and (ii) Commo |
|
| February 27, 2020 |
SEPARATION AGREEMENT AND FULL AND FINAL RELEASE This agreement (Agreement) is entered into between George Miketa (Employee) and SunOpta, Inc. |
|
| February 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo |
|
| February 27, 2020 |
FOR IMMEDIATE RELEASE SUNOPTA ANNOUNCES FOURTH QUARTER FISCAL 2019 FINANCIAL RESULTS Adjusted EBITDA doubled YOY excluding disposed operations Toronto, February 27, 2020 - SunOpta Inc. |
|
| February 27, 2020 |
Exhibit 21 LIST OF SUBSIDIARIES Name of Company Year of Incorporation, Amalgamation or Acquisition Jurisdiction of Incorporation Ownership SunOpta Foods Inc. |
|
| February 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 28, 2019 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-34198 SUNOPTA INC. (Exact Name of |
|
| February 14, 2020 |
240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* (Name of Issuer) SunOpta Inc. (Title of Class of Securities) Common Shares, No Par Value (CUSIP Number |
|
| February 14, 2020 |
STKL / SunOpta Inc. / BARROW HANLEY MEWHINNEY & STRAUSS LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SunOpta Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Schedule is fil |
|
| February 7, 2020 |
STKL / SunOpta Inc. / ARDSLEY ADVISORY PARTNERS - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 2) Under the Securities Exchange Act of 1934 SunOpta Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 8676EP108 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
|
| January 30, 2020 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2020 SUNOPTA INC. (Exact name of registrant as specified in its charter) Canada 001-34198 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpor |
|
| January 30, 2020 |
Exhibit 10.1 Execution Version RESTATEMENT AGREEMENT RESTATEMENT AGREEMENT, dated as of January 28, 2020 (this "Restatement Agreement"), among SunOpta Inc. (the "Company" or "Canadian Parent Borrower"; as further defined in the Credit Agreement (as defined below)), SunOpta Foods Inc. (the "U.S. Parent Borrower"; as further defined in the Credit Agreement), The Organic Corporation B.V. (the "Dutch |
|
| January 30, 2020 |
SUNOPTA ENTERS INTO AN EXTENSION OF ITS $360 MILLION REVOLVING ASSET-BASED CREDIT FACILITY Exhibit 99.1 FOR IMMEDIATE RELEASE SUNOPTA ENTERS INTO AN EXTENSION OF ITS $360 MILLION REVOLVING ASSET-BASED CREDIT FACILITY TORONTO, January 30, 2020 - SunOpta Inc. ("SunOpta" or the "Company") (Nasdaq:STKL) (TSX:SOY), a leading global company focused on plant-based foods and beverages, fruit-based foods and beverages, and organic ingredient sourcing announced today that it has entered into an e |
