0001407623-24-000057.txt : 20240221 0001407623-24-000057.hdr.sgml : 20240221 20240221192549 ACCESSION NUMBER: 0001407623-24-000057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240220 FILED AS OF DATE: 20240221 DATE AS OF CHANGE: 20240221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHOEBEL RICHARD K. CENTRAL INDEX KEY: 0001477259 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 24661768 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 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_1708561536.xml FORM 4 X0508 4 2024-02-20 0 0001407623 RETAIL OPPORTUNITY INVESTMENTS CORP ROIC 0001477259 SCHOEBEL RICHARD K. C/O RETAIL OPPORTUNITY INVESTMENTS CORP. 11250 EL CAMINO REAL, SUITE 200 SAN DIEGO CA 92130 0 1 0 0 Chief Operating Officer 0 Common Stock, par value $0.0001 per share 2024-02-20 4 A 0 54816 0 A 534294 I See footnote OP Units Common Stock, par value $0.0001 per share 39487 39487 I See footnote The reporting person was granted 54,816 shares of restricted common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), that were issued pursuant to the Retail Opportunity Investments Corp. Second Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2025 and the first two anniversaries thereafter. 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 Schoebel Family Trust dated June 7, 2013 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, Attorney-in-fact for Richard K. Schoebel 2024-02-21