SEC Form SC 13G filed by SunOpta Inc.

*

 

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

 

 

  1.

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

 

Barrow Hanley Global Investors

752403190

  2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐

(b)  ☐

  3.

SEC USE ONLY

 

  4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

A Delaware limited liability company

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  5.    SOLE VOTING POWER

 

 

 

  6.    SHARED VOTING POWER

 

 

  7.    SOLE DISPOSITIVE POWER

 

 

  8.    SHARED DISPOSITIVE POWER

 

 

   9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)

 

☐

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

12.

TYPE OF REPORTING PERSON (See Instructions)

 

IA

SCHEDULE 13G

Item 1(a)

  

1(b)

  

Address of Issuer’s Principal Executive Offices:

  

2233 ARGENTIA ROAD, STE 401

MISSISSAUGA, ONTARIO A6 L5N 2X7

CANADA

Item 2(a)

  

Name of Person Filing:

Barrow Hanley Global Investors

2(b)

  

Address of Principal Business Office or, if none, Residence:

  

2200 Ross Avenue, 31st Floor

Dallas, TX 75201-2761

2(c)

  

Citizenship:

  

A Delaware limited liability company

 

2(d)

  

Title of Class of Securities

 

  

Common Stock

 

2(e)

  

 

Item 3

  

If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), 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)

  

☑

  

An investment adviser 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)

  

☐

  

A parent holding company or control person in accordance with §240.13d-1(b)(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 a accordance with §240.13d-1(b)(1)(ii)(J).

 

Item 4

  

Ownership:

 

  

4(a)

  

Amount beneficially owned:

 

  

4(b)

  

Percent of Class:

 

  

4(c)

  

Number of shares as to which person has:

 

  

 

(i)

Sole power to vote or to direct the vote:

  

(ii)

Shared power to vote or to direct the vote:

  

(iii)

Sole power to dispose or to direct the disposition of:

  

(iv)

Shared power to dispose or to direct the disposition of:

Item 5

  

Ownership of Five Percent or Less of a Class:

  

 Yes.  

Item 6

  

Ownership of More than Five Percent on Behalf of Another Person:

  

The right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the common stock is held by certain clients of the reporting person, none of which has such right or power with respect to five percent or more of the common stock.

 

Item 7

  

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:

  

Not Applicable.

 

Item 8

  

Identification and Classification of Members of the Group:

  

Not Applicable.

Item 9

  

Notice of Dissolution of Group:

  

Not Applicable.

Item 10

  

Certification:

By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are 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.

Barrow Hanley Global Investors

By:

/s/ Hannah Ackels

Name:  Hannah Ackels

Title:   Chief Compliance Officer