-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CcDSxDsPr+uoGU2IyMt8zUhfKEiWDdj7FtpxXMg01G3zsg/brz2O9tl/Csdy0qsS D9vPyAfjlKvNttpS4Gi1GA== 0000950123-10-012076.txt : 20100212 0000950123-10-012076.hdr.sgml : 20100212 20100212132733 ACCESSION NUMBER: 0000950123-10-012076 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 GROUP MEMBERS: FIR TREE CAPITAL OPPORTUNITY MASTER FUND, L.P. GROUP MEMBERS: FIR TREE VALUE MASTER FUND, L.P. SUBJECT COMPANY: 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: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83227 FILM NUMBER: 10597192 BUSINESS ADDRESS: STREET 1: 3 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142728067 MAIL ADDRESS: STREET 1: 3 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 FORMER COMPANY: FORMER CONFORMED NAME: NRDC Acquisition Corp. DATE OF NAME CHANGE: 20070724 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIR TREE INC CENTRAL INDEX KEY: 0001056491 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 505 FIFTH AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123983500 MAIL ADDRESS: STREET 1: 505 FIFTH AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G/A 1 c95619sc13gza.htm SC 13G/A sc13gza

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

Retail Opportunity Investments Corp.
(Name of Issuer)
Common Stock, $0.0001 par value per share
(Title of Class of Securities)
76131N101
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 
 


 

                     
CUSIP No.
 
76131N101 
 

 

           
1   NAMES OF REPORTING PERSONS
Fir Tree Capital Opportunity Master Fund, L.P.
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Cayman Islands
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   1,074,614
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    1,074,614
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  1,074,614
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  2.3%
     
12   TYPE OF REPORTING PERSON
   
  PN

Page 2 of 9


 

                     
CUSIP No.
 
76131N101 
 

 

           
1   NAMES OF REPORTING PERSONS
Fir Tree Value Master Fund, L.P.
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Cayman Islands
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   6,425,386
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    6,425,386
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  6,425,386
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  14.0%
     
12   TYPE OF REPORTING PERSON
   
  PN

Page 3 of 9


 

                     
CUSIP No.
 
76131N101  
 

 

           
1   NAMES OF REPORTING PERSONS
Fir Tree, Inc.
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  New York
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   7,500,000
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    7,500,000
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  7,500,000
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  16.4%
     
12   TYPE OF REPORTING PERSON
   
  CO

Page 4 of 9


 

SCHEDULE 13G/A
This Amendment No. 1 to Schedule 13G (this “Amendment”) is being filed on behalf of Fir Tree Capital Opportunity Master Fund, L.P., a Cayman Islands exempted limited partnership (“Capital Fund”), Fir Tree Value Master Fund, L.P., a Cayman Islands exempted limited partnership (“Value Fund”), and Fir Tree, Inc., a New York corporation (“Fir Tree,” and, collectively with Capital Fund and Value Fund, the “Reporting Persons”) relating to Common Stock, par value $0.0001 per share (the “Common Stock ”), of Retail Opportunity Investments Corp., a Delaware corporation (the “Issuer”), purchased by Capital Fund and Value Fund. Fir Tree is the investment manager of Capital Fund and Value Fund.
In addition to updating the holdings of the Reporting Persons, this Amendment is being filed to report that Fir Tree SPAC Holdings 1, LLC, a Delaware limited liability company, transferred ownership of its shares of Common Stock to Capital Fund and Value Fund, and consequently ceased to be a Reporting Person.
Item 1(a)  
Name of Issuer.
Retail Opportunity Investments Corp.
Item 1(b)  
Address of Issuer’s Principal Executive Offices.
3 Manhattanville Road
Purchase, New York 10577
Item 2(a)  
Name of Person Filing.
Item 2(b)  
Address of Principal Business Office.
Item 2(c)  
Place of Organization.
Fir Tree Capital Opportunity Master Fund, L.P.
c/o Admiral Administration Ltd.
Admiral Financial Center, 5th Floor
90 Fort Street, Box 32021 SMB
Grand Cayman, Cayman Islands
A Cayman Islands exempted limited partnership
Fir Tree Value Master Fund, L.P.
c/o Admiral Administration Ltd.
Admiral Financial Center, 5th Floor
90 Fort Street, Box 32021 SMB
Grand Cayman, Cayman Islands
A Cayman Islands exempted limited partnership
Fir Tree, Inc.
505 Fifth Avenue
23rd Floor
New York, New York 10017
A New York corporation
Fir Tree is the investment manager for each of Capital Fund and Value Fund, and has been granted investment discretion over portfolio investments, including the Common Stock, held by Capital Fund and Value Fund.

 

Page 5 of 9


 

Item 2(d)  
Title of Class of Securities.
Common Stock, $0.0001 par value per share (the “Common Stock”)
Item 2(e)  
CUSIP Number.
76131N101
Item 3  
Reporting Person.
The person filing is not listed in Items 3(a) through 3(j).
Item 4  
Ownership.
  (a)  
Capital Fund is the beneficial owner of 1,074,614 shares of Common Stock (consisting of 521,514 shares of Common Stock and warrants exercisable to purchase 553,100 shares of Common Stock). Value Fund is the beneficial owner of 6,425,386 shares of Common Stock (consisting of 2,628,486 shares of Common Stock and warrants exercisable to purchase 3,796,900 shares of Common Stock).
 
     
Fir Tree may be deemed to beneficially own the shares of Common Stock held by Capital Fund and Value Fund as a result of being the investment manager of Capital Fund and Value Fund.
 
  (b)  
Capital Fund is the beneficial owner of 2.3% of the outstanding shares of Common Stock. Value Fund is the beneficial owner of 14.0% of the outstanding shares of Common Stock. Collectively, the Reporting Persons beneficially own 7,500,000 shares of Common Stock, which represents 16.4% of the shares of Common Stock outstanding. These percentages are determined by dividing the number of shares of Common Stock and warrants exercisable to purchase Common Stock beneficially held by the Reporting Persons by the sum of (i) 41,519,675, the number of shares of Common Stock issued and outstanding and (ii) 4,350,000, the number of warrants exercisable to purchase Common Stock beneficially held by Reporting Persons.
 
  (c)  
Capital Fund has the shared power to direct the vote and disposition of 1,074,614 shares of Common Stock. Value Fund has the shared power to direct the vote and disposition of 6,425,386 shares of Common Stock. Fir Tree has been granted investment discretion over the Common Stock held by Capital Fund and Value Fund, and thus, has the shared power to direct the vote and disposition of 7,500,000 shares of Common Stock.

 

Page 6 of 9


 

Item 5  
Ownership of Five Percent or Less of a Class.
Inapplicable.
Item 6  
Ownership of More Than Five Percent on Behalf of Another Person.
Inapplicable.
Item 7  
Identification and Classification of the Subsidiary which Acquired the Security Being Reported On by the Parent Holding Company.
Inapplicable.
Item 8  
Identification and Classification of Members of the Group.
Inapplicable.
Item 9  
Notice of Dissolution of Group.
Inapplicable.
Item 10  
Certification.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

Page 7 of 9


 

SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 12, 2010
                 
    FIR TREE CAPITAL OPPORTUNITY MASTER FUND, L.P.    
 
               
    By:   FIR TREE, INC., its Manager    
 
               
 
      By:   /s/ Jeffrey Tannenbaum
 
Name: Jeffrey Tannenbaum
   
 
          Title:    President    
 
               
    FIR TREE VALUE MASTER FUND, L.P.    
 
               
    By:   FIR TREE, INC., its Manager    
 
               
 
      By:   /s/ Jeffrey Tannenbaum    
 
               
 
          Name: Jeffrey Tannenbaum    
 
          Title:    President    
 
               
    FIR TREE, INC.    
 
               
    By:   /s/ Jeffrey Tannenbaum    
             
        Name: Jeffrey Tannenbaum    
        Title:    President    

 

Page 8 of 9


 

EXHIBIT 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the shares of Common Stock, $0.0001 par value per share, of Retail Opportunity Investments Corp., a Delaware corporation, and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings.
The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 12, 2010.
                 
    FIR TREE CAPITAL OPPORTUNITY MASTER FUND, L.P.    
 
               
    By:   FIR TREE, INC., its Manager    
 
               
 
      By:   /s/ Jeffrey Tannenbaum
 
Name: Jeffrey Tannenbaum
   
 
          Title:    President    
 
               
    FIR TREE VALUE MASTER FUND, L.P.    
 
               
    By:   FIR TREE, INC., its Manager    
 
               
 
      By:   /s/ Jeffrey Tannenbaum    
 
               
 
          Name: Jeffrey Tannenbaum    
 
          Title:    President    
 
               
    FIR TREE, INC.    
 
               
    By:   /s/ Jeffrey Tannenbaum    
             
        Name: Jeffrey Tannenbaum    
        Title:    President    

 

Page 9 of 9

-----END PRIVACY-ENHANCED MESSAGE-----