0001171843-17-000086.txt : 20170104
0001171843-17-000086.hdr.sgml : 20170104
20170104190444
ACCESSION NUMBER: 0001171843-17-000086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170101
FILED AS OF DATE: 20170104
DATE AS OF CHANGE: 20170104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RETAIL OPPORTUNITY INVESTMENTS CORP
CENTRAL INDEX KEY: 0001407623
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 260500600
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8905 TOWNE CENTRE DRIVE, SUITE 108
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
BUSINESS PHONE: (858) 677-0900
MAIL ADDRESS:
STREET 1: 8905 TOWNE CENTRE DRIVE, SUITE 108
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
FORMER COMPANY:
FORMER CONFORMED NAME: NRDC Acquisition Corp.
DATE OF NAME CHANGE: 20070724
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHOEBEL RICHARD K.
CENTRAL INDEX KEY: 0001477259
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33749
FILM NUMBER: 17507954
MAIL ADDRESS:
STREET 1: C/O RETAIL OPPORTUNITY INVESTMENTS CORP.
STREET 2: 3 MANHATTANVILLE ROAD
CITY: PURCHASE
STATE: NY
ZIP: 10577
FORMER NAME:
FORMER CONFORMED NAME: SCHOEBEL RICHARD
DATE OF NAME CHANGE: 20091120
4
1
formfour.xml
OWNERSHIP DOCUMENT
X0306
4
2017-01-01
0
0001407623
RETAIL OPPORTUNITY INVESTMENTS CORP
ROIC
0001477259
SCHOEBEL RICHARD K.
C/O RETAIL OPPORTUNITY INVESTMENTS CORP.
8905 TOWNE CENTRE DRIVE, SUITE 108
SAN DIEGO
CA
92122
0
1
0
0
Chief Operating Officer
Common Stock, par value $0.0001 per share
2017-01-01
4
A
0
7500
0
A
184003
D
Common Stock, par value $0.0001 per share
2017-01-01
4
A
0
7767
0
A
191770
D
Common Stock, par value $0.0001 per share
2017-01-01
4
F
0
14761
21.13
D
177009
D
On February 21, 2014, the reporting person was granted 22,500 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 7,500 shares on January 1, 2015, 7,500 shares on January 1, 2016 and 7,500 shares on January 1, 2017 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2014, 2015 and 2016. The performance criteria for 2016 were met, resulting in vesting of 7,500 shares. This report is being filed to reflect the vesting of these shares.
On February 24, 2015, the reporting person was granted 23,300 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 7,767 shares on January 1, 2016, 7,767 shares on January 1, 2017 and 7,766 shares on January 1, 2018 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2015, 2016 and 2017. The performance criteria for 2016 were met, resulting in vesting of 7,767 shares. This report is being filed to reflect the vesting of these shares.
Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested.
/s/ Richard K. Schoebel
2017-01-04