0001019056-19-000569.txt : 20191028 0001019056-19-000569.hdr.sgml : 20191028 20191028112523 ACCESSION NUMBER: 0001019056-19-000569 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191024 FILED AS OF DATE: 20191028 DATE AS OF CHANGE: 20191028 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Healthcare Fund, L.P. CENTRAL INDEX KEY: 0001759258 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171729 BUSINESS ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: (203) 355-0700 MAIL ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Partners Renewable Energy Fund, L.P. CENTRAL INDEX KEY: 0001485583 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171730 BUSINESS ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-355-0700 MAIL ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEMPLEMAN PHILIP J CENTRAL INDEX KEY: 0001025710 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Partners I GP LLC CENTRAL INDEX KEY: 0001504218 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171732 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-564-4230 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 FORMER NAME: FORMER CONFORMED NAME: Ardsley Partner I GP LLC DATE OF NAME CHANGE: 20190816 FORMER NAME: FORMER CONFORMED NAME: ARDSLEY PARTNERS I DATE OF NAME CHANGE: 20120110 FORMER NAME: FORMER CONFORMED NAME: ARDSLEY PARTNERS I LP DATE OF NAME CHANGE: 20101025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Advisory Partners GP LLC CENTRAL INDEX KEY: 0001785968 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171733 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: (203) 355-0700 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARDSLEY ADVISORY PARTNERS LP CENTRAL INDEX KEY: 0000900529 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171734 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-564-4230 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 FORMER NAME: FORMER CONFORMED NAME: ARDSLEY ADVISORY PARTNERS DATE OF NAME CHANGE: 19940208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Ridgecrest Partners Fund, L.P. CENTRAL INDEX KEY: 0001598118 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171735 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-355-0700 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Duckdive Fund, L.P. CENTRAL INDEX KEY: 0001675562 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34198 FILM NUMBER: 191171736 BUSINESS ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: (203) 355-0700 MAIL ADDRESS: STREET 1: C/O ARDSLEY PARTNERS I GP, LLC STREET 2: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 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 4 1 ownership.xml X0306 4 2019-10-24 0 0000351834 SunOpta Inc. STKL 0000900529 ARDSLEY ADVISORY PARTNERS LP 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 1 1 See Footnotes(1)(2)(3) 0001785968 Ardsley Advisory Partners GP LLC 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001504218 Ardsley Partners I GP LLC 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001025710 HEMPLEMAN PHILIP J 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001485583 Ardsley Partners Renewable Energy Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001759258 Ardsley Healthcare Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001675562 Ardsley Duckdive Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) 0001598118 Ardsley Ridgecrest Partners Fund, L.P. 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 0 1 See Footnotes(1)(2)(3) Common Stock 2019-10-24 4 P 0 7900 1.7467 A 11955155 I See Footnotes Common Stock 2019-10-24 4 P 0 2700 1.6996 A 11957855 I See 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. /s/ Steve Napoli, Partner 2019-10-28 EX-24 2 ex_24.htm EXHIBIT 24
 

Exhibit 24

 

Information Regarding Joint Filers

 

Designated Filer of Form 4: Ardsley Advisory Partners LP

 

Date of Earliest Transaction Required to be Reported: October 28, 2019

 

Issuer Name and Ticker Symbol: Sunopta Inc. (STKL)

 

Names:Ardsley Advisory Partners LP, Ardsley Advisory Partners GP LLC, Ardsley Partners I GP LLC, Philip J. Hempleman, Ardsley Partners Renewable Energy Fund, L.P., Ardsley Healthcare Fund, L.P., Ardsley Partners Duckdive Fund, L.P., Ardsley Ridgecrest Partners, L.P.

 

Address:Ardsley Advisory Partners LP
262 Harbor Drive, 4th Floor
Stamford, CT 06902

 

Signatures:

 

The undersigned, Ardsley Advisory Partners LP, Ardsley Advisory Partners GP LLC, Ardsley Partners I GP LLC, Phillip Hempleman, Ardsley Partners Renewable Energy Fund, L.P., Ardsley Healthcare Fund, L.P., Ardsley Partners Duckdive Fund, L.P., and Ardsley Ridgecrest Partners, L.P. are jointly filing the attached Statement of Changes in Beneficial Ownership of Securities on Form 4 with respect to the beneficial ownership of securities of Sunopta Inc.

 

 

ARDSLEY ADVISORY PARTNERS LP

By: Ardsley Advisory Partners GP LLC, its General Partner

 

/s/ Steve Napoli

By: Steve Napoli, Partner

 

ARDSLEY ADVISORY PARTNERS GP LLC

 

/s/ Steve Napoli, Partner

By: Steve Napoli, Partner

 

ARDSLEY PARTNERS I GP LLC

 

/s/ Steve Napoli, Partner

By: Steve Napoli, Partner

 

PHILIP J. HEMPLEMAN

By: Steve Napolii/Attorney-in-Fact for Philip J. Hempleman

 

/s/ Steve Napoli*

Signature

 

ARDSLEY HEALTHCARE FUND, L.P.

By: Ardsley Partners I GP LLC, General Partner

 

/s/ Steve Napoli

By: Steve Napoli, Partner

 

ARDSLEY PARTNERS RENEWABLE ENERGY FUND, L.P.

By: Ardsley Partners I GP LLC, General Partner

 

/s/ Steve Napoli

By: Steve Napoli, Partner

 

ARDSLEY DUCKDIVE FUND, L.P.

By: Ardsley Partners I GP LLC, General Partner

 

/s/ Steve Napoli

By: Steve Napoli, Partner

 

ARDSLEY RIDGECREST PARTNERS FUND, L.P.

By: Ardsley Partners I GP LLC, General Partner

 

/s/ Steve Napoli

By: Steve Napoli, Partner

 

* Executed by Steve Napoli as Attorney-in-Fact for Philip J. Hempleman. The Power of Attorney for Mr. Hempleman is attached as Exhibit 2 to the Statement on Schedule 13G/A with respect to the Common Stock of Vaxgen, Inc., filed on February 15, 2006, and is incorporated herein by reference.