0001407623-24-000020.txt : 20240103 0001407623-24-000020.hdr.sgml : 20240103 20240103160923 ACCESSION NUMBER: 0001407623-24-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240101 FILED AS OF DATE: 20240103 DATE AS OF CHANGE: 20240103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haines Michael B. CENTRAL INDEX KEY: 0001562225 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 24506401 MAIL ADDRESS: STREET 1: 8905 TOWNE CENTRE DRIVE, SUITE 108 CITY: SAN DIEGO STATE: CA ZIP: 92122 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RETAIL OPPORTUNITY INVESTMENTS CORP CENTRAL INDEX KEY: 0001407623 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] ORGANIZATION NAME: 05 Real Estate & Construction IRS NUMBER: 260500600 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11250 EL CAMINO REAL STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 677-0900 MAIL ADDRESS: STREET 1: 11250 EL CAMINO REAL STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: NRDC Acquisition Corp. DATE OF NAME CHANGE: 20070724 4 1 wk-form4_1704316141.xml FORM 4 X0508 4 2024-01-01 0 0001407623 RETAIL OPPORTUNITY INVESTMENTS CORP ROIC 0001562225 Haines Michael B. C/O RETAIL OPPORTUNITY INVESTMENTS CORP. 11250 EL CAMINO REAL, SUITE 200 SAN DIEGO CA 92130 0 1 0 0 EVP CFO, TREASURER & SECRETARY 0 Common Stock, par value $0.0001 per share 2024-01-01 4 F 0 14003 14.03 D 325855 I See footnote OP Units Common Stock, par value $0.0001 per share 36011 36011 I See footnote Consists of shares of common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), withheld by the Company in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted common stock that vested. These shares of common stock or units of limited partner interest ("OP Units") of Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") and the operating partnership of the Company, as the case may be, are held by the Michael B. Haines Trust dated August 19, 2004 of which the reporting person is a Trustee. The reporting person has the right to cause the Partnership to redeem some or all of the reporting person's OP Units for cash in an amount equal to the market value (as defined in Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended) of an equivalent number of shares of common stock or at the Company's option, shares of common stock on a one-for-one basis, subject to certain adjustments. N/A /s/ Michael B. Haines 2024-01-03