0001407623-21-000047.txt : 20210305 0001407623-21-000047.hdr.sgml : 20210305 20210305160308 ACCESSION NUMBER: 0001407623-21-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210303 FILED AS OF DATE: 20210305 DATE AS OF CHANGE: 20210305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHOEBEL RICHARD K. CENTRAL INDEX KEY: 0001477259 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 21718464 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] 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 wf-form4_161497815873037.xml FORM 4 X0306 4 2021-03-03 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 Common Stock, par value $0.0001 per share 2021-03-03 4 S 0 7000 16.17 D 352445 I See footnote Common Stock, par value $0.0001 per share 2021-03-03 4 S 0 7000 16.14 D 345445 I See footnote Common Stock, par value $0.0001 per share 2021-03-03 4 M 0 35000 10.88 A 380445 I See footnote Common Stock, par value $0.0001 per share 2021-03-04 4 S 0 5000 15.89 D 375445 I See footnote Common Stock, par value $0.0001 per share 2021-03-04 4 S 0 5000 15.82 D 370445 I See footnote Common Stock, par value $0.0001 per share 10.88 2021-03-03 4 M 0 35000 0 A 2021-03-11 Common Stock, par value $0.0001 per share 35000.0 0 D These shares are held by the Schoebel Family Trust dated June 7, 2013 of which Richard K. Schoebel is a Trustee. The option, representing a right to purchase a total of 35,000 shares, became exercisable in five equal annual installments beginning on March 11, 2012, which was the first anniversary of the date on which the option was granted. /s/ Richard K. Schoebel 2021-03-05