13D Filing: Oaktree Capital Management and Sunopta Inc. (STKL)

NAME OF
REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Oaktree Holdings, Inc.

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP

(a)  ☐        (b)  ☐

SEC USE ONLY

SOURCE OF FUNDS

Not applicable

CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or
2(e)

☐

CITIZENSHIP OR PLACE OF
ORGANIZATION

Delaware

NUMBER OF SHARES BENEFICIALLY  OWNED
BY EACH REPORTING PERSON WITH

SOLE VOTING POWER

2,330,612 (1)

SHARED VOTING POWER

None

SOLE DISPOSITIVE POWER

2,330,612 (1)

SHARED DISPOSITIVE POWER

None

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,330,612 (1)

CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES

☐

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

2.7%

TYPE OF REPORTING PERSON

CO