0000899243-21-027624.txt : 20210706
0000899243-21-027624.hdr.sgml : 20210706
20210706190434
ACCESSION NUMBER: 0000899243-21-027624
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210701
FILED AS OF DATE: 20210706
DATE AS OF CHANGE: 20210706
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: 211075732
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAM Partners Trust
CENTRAL INDEX KEY: 0001861643
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34198
FILM NUMBER: 211075731
BUSINESS ADDRESS:
STREET 1: 181 BAY STREET
STREET 2: SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
BUSINESS PHONE: 416-369-2621
MAIL ADDRESS:
STREET 1: 181 BAY STREET
STREET 2: SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
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: 7301 OHMS LANE
STREET 2: SUITE 600
CITY: EDINA
STATE: MN
ZIP: 55439
BUSINESS PHONE: 952-820-2518
MAIL ADDRESS:
STREET 1: 7301 OHMS LANE
STREET 2: SUITE 600
CITY: EDINA
STATE: MN
ZIP: 55439
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-07-01
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
0001861643
BAM Partners Trust
BROOKFIELD PLACE, SUITE 300
181 BAY ST. PO BOX 762
TORONTO, ONTARIO
A6
M5J 2T3
ONTARIO, CANADA
0
0
1
0
Cash-Settled Total Return Swap
12.25
2021-07-01
4
P
1
1
0.00
A
2021-07-01
2023-08-18
Common Shares
12667
1
D
Cash-Settled Total Return Swap
12.24
2021-07-02
4
P
1
1
0.00
A
2021-07-02
2023-08-18
Common Shares
23138
1
D
Cash-Settled Total Return Swap
11.85
2021-07-06
4
P
1
1
0.00
A
2021-07-06
2023-08-18
Common Shares
17890
1
D
Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). This Form 4 is also being filed by (i) Oaktree Huntington Investment Fund II GP, L.P. ("OHIF GP") in its capacity as general partner of OHIF; (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of OHIF GP; (iii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iv) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (v) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;
(Continued from Footnote 1) (vii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (ix) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (x) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons").
Each Reporting Person disclaims beneficial ownership of all equity securities 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 any equity securities covered by this Form 4.
OHIF (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations.
(Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Funds on any business day, subject to customary adjustments and limitations.
Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations.
Reflects the initial price under the Cash-Settled Swaps.
See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations.
Form 2 of 2.
BAM Partners Trust, By: BAM Class B. Partners Inc., Its: Trustee, By: /s/ Kathy Sarpash, Its: Secretary
2021-07-06