Filing Details
- Accession Number:
- 0001019056-19-000567
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-25 18:34:22
- Reporting Period:
- 2019-10-24
- Accepted Time:
- 2019-10-25 18:34:22
- 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
- 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").
- (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.
- 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.