0000899243-17-006769.txt : 20170307 0000899243-17-006769.hdr.sgml : 20170307 20170307211259 ACCESSION NUMBER: 0000899243-17-006769 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170303 FILED AS OF DATE: 20170307 DATE AS OF CHANGE: 20170307 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SunOpta Inc. CENTRAL INDEX KEY: 0000351834 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-FARM PRODUCT RAW MATERIALS [5150] IRS NUMBER: 000000000 STATE OF INCORPORATION: Z4 FISCAL YEAR END: 0101 BUSINESS ADDRESS: STREET 1: 2233 ARGENTIA ROAD STREET 2: SUITE 401 CITY: MISSISSAUGA STATE: A6 ZIP: L5N 2X7 BUSINESS PHONE: (905) 455-1990 MAIL ADDRESS: STREET 1: 2233 ARGENTIA ROAD STREET 2: SUITE 401 CITY: MISSISSAUGA STATE: A6 ZIP: L5N 2X7 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group Holdings GP, LLC CENTRAL INDEX KEY: 0001403525 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 17673784 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group, LLC CENTRAL INDEX KEY: 0001403528 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 17673785 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Huntington Investment Fund II, L.P. CENTRAL INDEX KEY: 0001687181 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 17673786 BUSINESS ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 S. GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: X1 ZIP: 90071 BUSINESS PHONE: 213-830-6300 MAIL ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 S. GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: X1 ZIP: 90071 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-03 0 0000351834 SunOpta Inc. STKL 0001687181 Oaktree Huntington Investment Fund II, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 0 0 1 0 0001403528 Oaktree Capital Group, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 0 0 1 0 0001403525 Oaktree Capital Group Holdings GP, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 0 0 1 0 Common Stock 2017-03-03 4 P 0 305483 6.87 A 305483 D Common Stock 2017-03-06 4 P 0 184596 6.95 A 490079 D The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $7.05, inclusive. The Reporting Persons undertake to provide to SunOpta Inc., any security holder of SunOpta Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1 and footnote 6. This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 3); (Continued from footnote 2) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc., OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Stock covered by this Form 4. OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, David M. Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Stock covered by this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.40 to $6.96, inclusive. This Form 4 is being filed in two parts due to the number of Reporting Persons. Both Filings relate to the same holdings described above. See signatures included in Exhibit 99.1 2017-03-07 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

                                                                    EXHIBIT 99.1

This Statement on Form 4 is filed by the Reporting Persons listed below. The
principal business address of the Reporting Persons is 333 South Grand Avenue,
28th Floor, Los Angeles, CA 90071.

Name of Designated Filer: OAKTREE HUNTINGTON INVESTMENT FUND II, L.P.

Date of Event Requiring Statement: March 3, 2017.

Issuer Name: SunOpta Inc. [STKL]

                           OAKTREE HUNTINGTON INVESTMENT FUND II, L.P.

                           By:   Oaktree Huntington Investment Fund II GP, L.P.
                           Its:  General Partner

                           By:   Oaktree Fund GP, LLC
                           Its:  General Partner

                           By:   Oaktree Fund GP I, L.P.
                           Its:  Managing Member


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Authorized Signatory

                           OAKTREE HUNTINGTON INVESTMENT FUND II GP, L.P.

                           By:   Oaktree Fund GP, LLC
                           Its:  General Partner

                           By:   Oaktree Fund GP I, L.P.
                           Its:  Managing Member


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Authorized Signatory

                           OAKTREE FUND GP, LLC

                           By:   Oaktree Fund GP I, L.P.
                           Its:  Managing Member


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Authorized Signatory

                           OAKTREE FUND GP I, L.P.


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Authorized Signatory

                           OAKTREE CAPITAL I, L.P.


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President

                           OCM HOLDINGS I, LLC


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President

                           OAKTREE HOLDINGS, LLC


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President

                           OAKTREE CAPITAL MANAGEMENT, L.P.


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President

                           OAKTREE HOLDINGS, INC.


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President

                           OAKTREE CAPITAL GROUP, LLC


                           By:   Oaktree Capital Group Holdings GP, LLC
                           Its:  Manager


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President


                           OAKTREE CAPITAL GROUP HOLDINGS GP, LLC


                           By:   /s/ Jamie Toothman
                                 -----------------------------------------------
                                 Name: Jamie Toothman
                                 Title: Vice President