Filing Details

Accession Number:
0001019056-19-000569
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-10-28 11:25:23
Reporting Period:
2019-10-24
Accepted Time:
2019-10-28 11:25:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
351834 Sunopta Inc. STKL Wholesale-Farm Product Raw Materials (5150) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
900529 Ardsley Advisory Partners Lp 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes Yes
1025710 J Philip Hempleman 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1485583 Ardsley Partners Renewable Energy Fund, L.p. 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1504218 Ardsley Partners I Gp Llc 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1598118 Ardsley Ridgecrest Partners Fund, L.p. 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1675562 Ardsley Duckdive Fund, L.p. 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1759258 Ardsley Healthcare Fund, L.p. 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
1785968 Ardsley Advisory Partners Gp Llc 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-10-24 7,900 $1.75 11,955,155 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2019-10-24 2,700 $1.70 11,957,855 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
Footnotes
  1. This Form 4 is being filed by Ardsley Advisory Partners LP (the "Advisor") on behalf of itself and Ardsley Advisory Partners GP LLC (the "Advisor General Partner"), Ardsley Partners I GP LLC (the "General Partner"), Ardsley Partners Renewable Energy Fund, L.P. (the "Renewable Energy Fund"), Ardsley Healthcare Fund, L.P. (the "Healthcare Fund"), Ardsley Duckdive Fund, L.P. (the "Duckdive Fund"), Ardsley Ridgecrest Partners Fund, LP (the "Ridgecrest Fund") and Philip J. Hempleman ("Hempleman" and, together with the Advisor, the Advisor General Partner, the General Partner, the Renewable Energy Fund, the Healthcare Fund, the Duckdive Fund, and the Ridgecrest Fund, the "Reporting Persons").
  2. (Continued from Footnote 1) The Advisor General Partner serves as general partner to the Advisor. The General Partner serves as general partner to the Renewable Energy Fund, the Healthcare Fund, the Duckdive Fund, and the Ridgecrest Fund. Hempleman serves as managing member to the Advisor, the Advisor General Partner, and the General Partner.
  3. The amounts set forth in Table I reflect the 10,600 shares of Common Stock purchased by the Duckdive Fund in the open market transaction requiring the filing of this statement. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by the Reporting Persons is reported herein. Each of the Advisor, the Advisor General Partner, the General Partner, and Hempleman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Advisor, the Advisor General Partner, the General Partner, or Hempleman are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.