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