-----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, BmH2JHGxStaTEYsCNUkRVW0FuZo71IRnW84pJ5ypM3tJPA2jwg/ZuoYVWl12Plr0 VIWD31XfqPtO9wA5wo4RVQ== 0001017456-09-000005.txt : 20091207 0001017456-09-000005.hdr.sgml : 20091207 20091207143219 ACCESSION NUMBER: 0001017456-09-000005 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091207 DATE AS OF CHANGE: 20091207 GROUP MEMBERS: GRANDVIEW LLC GROUP MEMBERS: MILLENNIUM INTERNATIONAL MANAGEMENT GP LLC GROUP MEMBERS: MILLENNIUM INTERNATIONAL MANAGEMENT LP GROUP MEMBERS: MILLENNIUM INTERNATIONAL, LTD. GROUP MEMBERS: MILLENNIUM MANAGEMENT LLC FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ENGLANDER ISRAEL A CENTRAL INDEX KEY: 0001017456 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: C/O MILLENNIUM MANAGEMENT, L.L.C. STREET 2: 666 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10103 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-83227 FILM NUMBER: 091225849 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 SC 13G 1 roic_sc13g.htm SCHEDULE 13G

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
Under the Securities Exchange Act of 1934



RETAIL OPPORTUNITY INVESTMENTS CORP.
(Name of Issuer)

COMMON STOCK, PAR VALUE $0.0001 PER SHARE
(Title of Class of Securities)

76131N101
(CUSIP Number)

OCTOBER 20, 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

SCHEDULE 13G

Page  
2
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Israel A. Englander
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 5,217,086 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 5,217,086 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 5,217,086 (See Item 4(a))*
10
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 9.8% (See Item 4(a))*
12
 TYPE OF REPORTING PERSON

 IN

                     
                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
3
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Grandview LLC
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 (See Item 4(a))*
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 (See Item 4(a))*
12 TYPE OF REPORTING PERSON

 
OO


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
4
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Millennium International Ltd.
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 (See Item 4(a))*
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 (See Item 4(a))*
12 TYPE OF REPORTING PERSON

 
CO


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
5
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Millennium International Management LP
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 (See Item 4(a))*
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 (See Item 4(a))*
12 TYPE OF REPORTING PERSON

 
PN


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
6
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Millennium International Management GP LLC
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 (See Item 4(a))*
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 (See Item 4(a))*
12 TYPE OF REPORTING PERSON

 
OO


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
7
  of   
14

1
 NAMES OF REPORTING PERSONS.
 
 Millennium Management LLC
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 (See Item 4(a))*
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 (See Item 4(a))*
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 (See Item 4(a))*
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 (See Item 4(a))*
12 TYPE OF REPORTING PERSON

 
OO


                     
CUSIP No.
 
76131N101

 SCHEDULE 13G

Page  
8
  of   
14
 
Item 1.    
 
(a) Name of Issuer:
 
   
 
  Retail Opportunity Investments Corp., a Delaware corporation (the "Issuer").
 
   
 
(b) Address of Issuer’s Principal Executive Offices:
 
   
 
 

3 Manhattanville Road
Purchase, New York 10577

     
Item 2.
(a) Name of Person Filing:
 
(b) Address of Principal Business Office:
 
(c) Citizenship:
     
 
  Israel A. Englander
c/o Millennium Management LLC
666 Fifth Avenue
New York, New York 10103
Citizenship: United States
 
   
 
  Grandview LLC
c/o Millennium Management LLC
666 Fifth Avenue
New York, New York 10103
Citizenship: Cayman Islands
 
   
 
  Millennium International Ltd.
c/o Millennium International Management LP
666 Fifth Avenue
New York, New York 10103
Citizenship: Cayman Islands
 
   
 
  Millennium International Management LP
c/o Millennium International Management GP LLC
666 Fifth Avenue
New York, New York 10103
Citizenship: Delaware
 
   
 
  Millennium International Management GP LLC
666 Fifth Avenue
New York, New York 10103
Citizenship: Delaware
 
   
 
  Millennium Management LLC
666 Fifth Avenue
New York, New York 10103
Citizenship: Delaware
 
   
  (d) Title of Class of Securities:
common stock, par value $0.0001 per share ("Common Stock")
 
  (e) CUSIP Number:
     
    76131N101


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

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  of   
14

Item 3.  If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:

 
  (a)   o   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
             
 
  (b)   o   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
             
 
  (c)   o   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
             
 
  (d)   o   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
             
 
  (e)   o   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
             
 
  (f)   o    An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

                     
CUSIP No.
 
76131N101

 SCHEDULE 13G

Page  
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  of   
14
             
 
  (g)   o   A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
             
 
  (h)   o   A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
             
 
  (i)   o   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
             
 
  (j)   o   Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4. Ownership

   Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a) Amount Beneficially Owned:*

   As of the date of this Schedule 13G, Grandview LLC, a Delaware limited liability company ("Grandview"), holds 405,319 shares of the Issuer’s Common Stock and warrants to purchase 5,144,000 shares of the Issuer’s Common Stock, and Millennium International, Ltd., an exempted company organized under the laws of the Cayman Islands ("Millennium International"), holds 1,095,861 shares of the Issuer’s Common Stock and warrants to purchase 1,000,000 shares of the Issuer’s Common Stock, each subject to the ownership limitation described below. Each warrant entitles the holder to purchase one share of Common Stock from the Issuer at an exercise price of $12.00 per share ("Warrants"). The Warrants will expire on October 23, 2014, or earlier upon redemption. Millennium Management LLC, a Delaware limited liability company ("Millennium Management"), is the manager of Grandview and may be deemed to have shared voting control and investm ent discretion over securities owned by Grandview. Millennium International Management LP, a Delaware limited partnership ("Millennium International Management"), is the investment manager to Millennium International, and may be deemed to have shared voting control and investment discretion over securities owned by Millennium International. Millennium International Management GP LLC, a Delaware limited liability company ("Millennium International Management GP"), is the general partner of Millennium International Management, and may be deemed to have shared voting control and investment discretion over securities owned by Millennium International. Israel A. Englander ("Mr. Englander"), is the managing member of Millennium Management and of Millennium International Management GP. Consequently, Mr. Englander may also be deemed to be the beneficial owner of any securities beneficially owned by Grandview or Millennium International, as the case may be.

   Due to limitations on the concentration of ownership of a REIT imposed by the Internal Revenue Code, the Issuer’s charter prohibits any stockholder or warrantholder from directly, indirectly or constructively owning more than 9.8% of the outstanding shares, by value or number, whichever is more restrictive, of its Common Stock. This provision currently has the effect of limiting the Warrants that may be exercised by the Reporting Persons. Consequently, as of the date of this Schedule 13G, Mr. Englander may be deemed to beneficially own, and the other Reporting Persons beneficially own, or may be deemed to beneficially own (as the case may be), in the aggregate, 5,217,086 shares of the Issuer’s Common Stock (consisting of 1,501,180 shares of the Issuer’s Common Stock and Warrants to purchase 3,715,906 shares of the Issuer’s Common Stock), which represents approximately 9.8% (calculated pursuant to Rule 13d-3), of the outstanding shares of the Issuer’s Common Stock.

   The foregoing should not be construed in and of itself as an admission by Millennium Management, Millennium International Management, Millennium International Management GP or Mr. Englander as to beneficial ownership of the securities owned by Grandview and Millennium International.


                     
CUSIP No.
 
76131N101

 SCHEDULE 13G

Page  
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  of   
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(b) Percent of Class:   

   9.8% of the Issuer’s Common Stock (see Item 4(a) above), which percentage was calculated based on 49,519,675 shares of Common Stock outstanding as of November 6, 2009, as per the Issuer’s Form 10-Q dated November 6, 2009.

 (c) Number of shares as to which such person has:

(i) Sole power to vote or to direct the vote

   -0-

(ii) Shared power to vote or to direct the vote

   (See Item 4(a))*

 (iii) Sole power to dispose or to direct the disposition of

   -0-

(iv) Shared power to dispose or to direct the disposition of

   (See Item 4(a))*

Item 5. Ownership of Five Percent or Less of a Class

   If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o .

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

    Not applicable.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

    Not applicable.

Item 8. Identification and Classification of Members of the Group

    See Exhibit I.

Item 9. Notice of Dissolution of Group

    Not applicable.

Item 10. Certification 

   By signing below each of the undersigned certifies that, to the best of its 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.

                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
12
  of   
14

Exhibits:

Exhibit I: Joint Filing Agreement, dated as of December 4, 2009, by and among Israel A. Englander, Grandview LLC, Millennium International, Ltd., Millennium International Management LP, Millennium International Management GP LLC and Millennium Management LLC.


                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
13
  of   
14
                     
     

SIGNATURE

             

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.

Dated: December 4, 2009

 

/s/ Israel A. Englander by David Nolan
pursuant to Power of Attorney filed with
the SEC on June 6, 2005

Israel A. Englander

 

GRANDVIEW LLC

By: Millennium Management LLC,
       its Manager

By: /s/ David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL, LTD.

By: Millennium International Management LP,
       its Investment Manager

By: /s/ David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL MANAGEMENT LP

By: /s/David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL MANAGEMENT GP LLC

By: /s/David Nolan

Name: David Nolan
Title:  Executive Vice President

 

MILLENNIUM MANAGEMENT LLC

By: /s/David Nolan

Name: David Nolan
Title:  Co-President





                     
CUSIP No.
 
76131N101

SCHEDULE 13G

Page  
14
  of   
14
                     
      EXHIBIT I              
                     
      JOINT FILING AGREEMENT              

This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of Common Stock, par value $0.0001 per share of Retail Opportunity Investments Corp., a Delaware corporation, will be filed on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

Dated: December 4, 2009

 

/s/ Israel A. Englander by David Nolan
pursuant to Power of Attorney filed with
the SEC on June 6, 2005

Israel A. Englander

 

GRANDVIEW LLC

By: Millennium Management LLC,
       its Manager

By: /s/ David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL, LTD.

By: Millennium International Management LP,
       its Investment Manager

By: /s/ David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL MANAGEMENT LP

By: /s/David Nolan

Name: David Nolan
Title:  Co-President

 

MILLENNIUM INTERNATIONAL MANAGEMENT GP LLC

By: /s/David Nolan

Name: David Nolan
Title:  Executive Vice President

 

MILLENNIUM MANAGEMENT LLC

By: /s/David Nolan

Name: David Nolan
Title:  Co-President


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