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[Form 4] SunOpta Inc. Insider Trading Activity

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

SunOpta CEO and director Brian W. Kocher reported equity-related transactions on January 2, 2026 involving restricted stock units (RSUs) and common shares of STKL.

Two RSU tranches covering 48,134 and 24,666 units were converted into an equal number of common shares at an exercise price of $0 per share. To cover income tax withholding tied to these vestings, the company withheld and disposed of 17,281 and 7,595 common shares at $3.71 per share, as noted in the footnotes.

After these transactions, Kocher beneficially owned 145,716 common shares directly and 84,000 common shares indirectly through the Brian W Kocher Revocable Trust, as well as 48,135 and 24,667 RSUs that remain outstanding.

Positive

  • None.

Negative

  • None.
Insider Kocher Brian W
Role CEO
Type Security Shares Price Value
Exercise Restricted Stock Units 48,134 $0.00 --
Exercise Restricted Stock Units 24,666 $0.00 --
Exercise Common Shares 48,134 $0.00 --
Tax Withholding Common Shares 17,281 $3.71 $64K
Exercise Common Shares 24,666 $0.00 --
Tax Withholding Common Shares 7,595 $3.71 $28K
holding Common Shares -- -- --
Holdings After Transaction: Restricted Stock Units — 48,135 shares (Direct); Common Shares — 145,926 shares (Direct); Common Shares — 84,000 shares (Indirect, By Trust)
Footnotes (1)
  1. Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock. This line item reflects the deemed disposition of shares withheld by the Company to satisfy income tax withholding requirements in connection with the vesting of the RSUs. The Brian W Kocher Revocable Trust UAD December 23, 2014, for which the reporting person is the co-trustee with his spouse. The Restricted Stock Units vest in three equal annual installments beginning on January 2, 2025, subject to the continued employment of the reporting person through each such vesting date. The Restricted Stock Units do not have an expiration date. On March 13, 2024 the reporting person was granted 74,000 restricted stock units, vesting in three equal annual installments beginning on January 2, 2025, subject to the continued employment of the reporting person through each vesting date.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Kocher Brian W
(Last) (First) (Middle)
7078 SHADY OAK ROAD
(Street)
EDEN PRAIRIE MN 55344
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SunOpta Inc. [ STKL ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
3. Date of Earliest Transaction (Month/Day/Year)
01/02/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares 01/02/2026 M 48,134 A (1) 145,926 D
Common Shares 01/02/2026 F 17,281 D $3.71(2) 128,645 D
Common Shares 01/02/2026 M 24,666 A (1) 153,311 D
Common Shares 01/02/2026 F 7,595 D $3.71(2) 145,716 D
Common Shares 84,000 I By Trust(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (1) 01/02/2026 M 48,134 (4) (5) Common Shares 48,134 $0 48,135 D
Restricted Stock Units (1) 01/02/2026 M 24,666 (6) (5) Common Shares 24,666 $0 24,667 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one share of STKL common stock.
2. This line item reflects the deemed disposition of shares withheld by the Company to satisfy income tax withholding requirements in connection with the vesting of the RSUs.
3. The Brian W Kocher Revocable Trust UAD December 23, 2014, for which the reporting person is the co-trustee with his spouse.
4. The Restricted Stock Units vest in three equal annual installments beginning on January 2, 2025, subject to the continued employment of the reporting person through each such vesting date.
5. The Restricted Stock Units do not have an expiration date.
6. On March 13, 2024 the reporting person was granted 74,000 restricted stock units, vesting in three equal annual installments beginning on January 2, 2025, subject to the continued employment of the reporting person through each vesting date.
/s/ Brett Koch, attorney-in-fact 01/06/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR