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