0001193125-15-046751.txt : 20150212 0001193125-15-046751.hdr.sgml : 20150212 20150212161554 ACCESSION NUMBER: 0001193125-15-046751 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 GROUP MEMBERS: ANDREW J. GOFFE GROUP MEMBERS: BRAD S. ROSENBERG GROUP MEMBERS: JONATHAN D. URFRIG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SunOpta Inc. CENTRAL INDEX KEY: 0000351834 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-FARM PRODUCT RAW MATERIALS [5150] IRS NUMBER: 000000000 FISCAL YEAR END: 0101 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-59617 FILM NUMBER: 15606386 BUSINESS ADDRESS: STREET 1: 2838 BOVAIRD DRIVE WEST CITY: BRAMPTON STATE: A6 ZIP: L7A 0H2 BUSINESS PHONE: (905) 455-1990 MAIL ADDRESS: STREET 1: 2838 BOVAIRD DRIVE WEST CITY: BRAMPTON STATE: A6 ZIP: L7A 0H2 FORMER COMPANY: FORMER CONFORMED NAME: SUNOPTA INC DATE OF NAME CHANGE: 20031107 FORMER COMPANY: FORMER CONFORMED NAME: STAKE TECHNOLOGY LTD DATE OF NAME CHANGE: 19940901 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OVERBROOK MANAGEMENT CORP CENTRAL INDEX KEY: 0001269786 IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10168 BUSINESS PHONE: 2126618710 MAIL ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 2500 CITY: NEW YORK STATE: NY ZIP: 10168 SC 13G 1 d870380dsc13g.htm SC 13G SC 13G

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

 

 

SunOpta Inc.

(Name of Issuer)

Common Shares, no par value

(Title of Class of Securities)

8676EP108

(CUSIP Number)

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x Rule 13d-1(b)

¨ Rule 13d-1(c)

¨ Rule 13d-1(d)

 

 

 


13G

CUSIP No. 8676EP108

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

Overbrook Management Corporation

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨        (b)  ¨

  3  

SEC USE ONLY

 

    

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

New York

NUMBER OF

SHARES

 BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON WITH

 

      5     

SOLE VOTING POWER

 

0

      6     

SHARED VOTING POWER

 

3,199,140

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

3,199,140

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

3,199,140

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

¨

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

4.8% **

12  

TYPE OF REPORTING PERSON*

 

IA, CO

 

* SEE INSTRUCTIONS BEFORE FILLING OUT
** SEE ITEM 4(b).

 

2


13G

CUSIP No. 8676EP108

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

Andrew J. Goffe

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨        (b)  ¨

  3  

SEC USE ONLY

 

    

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. Citizen

NUMBER OF

SHARES

 BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON WITH

 

      5     

SOLE VOTING POWER

 

1,009,900

      6     

SHARED VOTING POWER

 

3,199,140

      7     

SOLE DISPOSITIVE POWER

 

1,009,900

      8     

SHARED DISPOSITIVE POWER

 

3,199,140

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

4,209,040

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

¨

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

6.3% **

12  

TYPE OF REPORTING PERSON*

 

HC, IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT
** SEE ITEM 4(b).

 

3


13G

CUSIP No. 8676EP108

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

Brad S. Rosenberg

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨        (b)  ¨

  3  

SEC USE ONLY

 

    

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. Citizen

NUMBER OF

SHARES

 BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON WITH

 

      5     

SOLE VOTING POWER

 

0

      6     

SHARED VOTING POWER

 

3,199,140

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

3,199,140

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

3,199,140

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

¨

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

4.8% **

12  

TYPE OF REPORTING PERSON*

 

HC, IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT
** SEE ITEM 4(b).

 

4


13G

CUSIP No. 8676EP108

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

Jonathan D. Urfrig

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨        (b)  ¨

  3  

SEC USE ONLY

 

    

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. Citizen

NUMBER OF

SHARES

 BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON WITH

 

      5     

SOLE VOTING POWER

 

0

      6     

SHARED VOTING POWER

 

3,199,140

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

3,199,140

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

3,199,140

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

¨

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

4.8% **

12  

TYPE OF REPORTING PERSON*

 

HC, IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT
** SEE ITEM 4(b).

 

5


SCHEDULE 13G

This Schedule 13G (this “Schedule 13G”) is being filed on behalf of Overbrook Management Corporation, a New York corporation (“Overbrook”), Mr. Andrew J. Goffe, a principal of Overbrook, Mr. Brad S. Rosenberg, a principal of Overbrook, and Mr. Jonathan D. Urfrig, a principal of Overbrook (collectively, the “Reporting Persons”), relating to Common Shares, no par value (the “Common Stock”), of SunOpta Inc., a Canadian corporation (the “Issuer”).

This Schedule 13G relates to Common Stock of the Issuer purchased by Overbrook through the accounts of certain private funds and managed accounts (collectively, the “Overbrook Accounts”) and Mr. Goffe individually.

 

Item 1(a) Name of Issuer.

SunOpta Inc.

 

Item 1(b) Address of Issuer’s Principal Executive Offices.

2838 Bovaird Drive West

Brampton, Ontario L7A 0H2, Canada

 

Item 2(a) Name of Person Filing.

Overbrook Management Corporation (“Overbrook”), Mr. Andrew J. Goffe, Mr. Brad S. Rosenberg and Mr. Jonathan D. Urfrig.

 

Item 2(b) Address of Principal Business Office, or, if none, Residence.

122 East 42nd Street

Suite 2500

New York, New York 10168

 

Item 2(c) Citizenship or Place of Organization.

Overbrook is a corporation organized under the laws of the State of New York. Mr. Goffe, Mr. Rosenberg and Mr. Urfrig are the principals of Overbrook and are United States citizen.

 

6


Item 2(d) Title of Class of Securities.

Common Shares, no par value (the “Common Stock”).

 

Item 2(e) CUSIP Number.

8676EP108

 

Item 3 Reporting Person.

If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:

 

      (a)      ¨    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
      (b)    ¨      Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
      (c)    ¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
      (d)    ¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
      (e)    x    An investment advisor in accordance with §240.13d-1(b)(1)(ii)(E).
      (f)    ¨    An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
      (g)    x    A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
      (h)    ¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
      (i)    ¨    A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
      (j)    ¨    Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

7


Item 4 Ownership.

 

  (a) Overbrook, Mr. Rosenberg and Mr. Urfrig may be deemed the beneficial owners of the 3,199,140 shares of Common Stock held by the Overbrook Accounts. Mr. Goffe may be deemed the beneficial owner of the 4,209,040 shares of Common Stock held by the Overbrook Accounts and Mr. Goffe directly.

 

  (b) Overbrook, Mr. Rosenberg and Mr. Urfrig may be deemed the beneficial owners of 4.8%, and Mr. Goffe may be deemed the beneficial owner of 6.3%, of the Issuer’s outstanding shares of Common Stock. These percentages were calculated by dividing the number of shares of Common Stock beneficially owned by each of the Reporting Persons, by 67,037,866, the number shares of Common Stock issued and outstanding as of November 7, 2014, as reported in the Issuer’s most recent Form 10-Q filed with the Securities and Exchange Commission on November 12, 2014.

 

  (c) The Reporting Persons have the shared power to vote and dispose of the 3,199,140 shares of Common Stock held by Overbrook Accounts. Mr. Goffe has the sole power to vote and dispose of the 1,009,900 shares of Common Stock he holds directly.

 

Item 5 Ownership of Five Percent or Less of a Class.

Inapplicable.

 

Item 6 Ownership of More Than Five Percent on Behalf of Another Person.

Inapplicable.

 

Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported On by the Parent Holding Company.

Inapplicable.

 

Item 8 Identification and Classification of Members of the Group.

Inapplicable.

 

Item 9 Notice of Dissolution of Group.

Inapplicable.

 

Item 10 Certification.

By signing below each of the Reporting Persons certifies that, to the best of such person’s knowledge and belief, the securities referred to above were acquired and held in the ordinary course of business and were not acquired and were not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

8


Exhibits   

Exhibit 99.1

   Joint Filing Agreement dated February 12, 2015, by and among Overbrook, Mr. Goffe, Mr. Rosenberg and Mr. Urfrig.

 

9


SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 12, 2015

 

OVERBROOK MANAGEMENT CORPORATION
By:  

/s/ Andrew J. Goffe

  Andrew J. Goffe
  Chief Executive Officer and Chief Investment Officer

/s/ Andrew J. Goffe

Andrew J. Goffe

/s/ Brad S. Rosenberg

Brad S. Rosenberg

/s/ Jonathan D. Urfrig

Jonathan D. Urfrig

 

10

EX-99.1 2 d870380dex991.htm EX-99.1 EX-99.1

EXHIBIT 99.1

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Shares, no par value, of SunOpta Inc., a Canadian corporation, and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings.

The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.

This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.

IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 12, 2015.

 

OVERBROOK MANAGEMENT CORPORATION
By:  

/s/ Andrew J. Goffe

  Andrew J. Goffe
  Chief Executive Officer and Chief Investment Officer

/s/ Andrew J. Goffe

Andrew J. Goffe

/s/ Brad S. Rosenberg

Brad S. Rosenberg

/s/ Jonathan D. Urfrig

Jonathan D. Urfrig