0001171843-18-007306.txt : 20181029 0001171843-18-007306.hdr.sgml : 20181029 20181029163119 ACCESSION NUMBER: 0001171843-18-007306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181025 FILED AS OF DATE: 20181029 DATE AS OF CHANGE: 20181029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haines Michael B. CENTRAL INDEX KEY: 0001562225 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 181144575 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] 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 ownership.xml X0306 4 2018-10-25 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 Common Stock, par value $0.0001 per share 2018-10-25 4 M 0 10000 12.41 A 162601 D Stock Option (right to buy) 12.41 2018-10-25 4 M 0 10000 0 D 2022-11-25 Common Stock 10000 15000 D The option, representing a right to purchase a total of 25,000 shares, became exercisable in three equal annual installments beginning on November 25, 2013, which was the first anniversary of the date on which the option was granted. /s/Michael B. Haines 2018-10-29