0001407623-19-000020.txt : 20190911 0001407623-19-000020.hdr.sgml : 20190911 20190911180702 ACCESSION NUMBER: 0001407623-19-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190909 FILED AS OF DATE: 20190911 DATE AS OF CHANGE: 20190911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANZ STUART A CENTRAL INDEX KEY: 0001203845 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 191089181 MAIL ADDRESS: STREET 1: C/O PAN PACIFIC RETAIL PROPERTIES, INC STREET 2: 1631-B SOUTH MELROSE DRIVE CITY: VISTA STATE: CA ZIP: 92083 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_156823960453993.xml FORM 4 X0306 4 2019-09-09 0 0001407623 RETAIL OPPORTUNITY INVESTMENTS CORP ROIC 0001203845 TANZ STUART A C/O RETAIL OPPORTUNITY INVESTMENTS CORP. 11250 EL CAMINO REAL, SUITE 200 SAN DIEGO CA 92130 1 1 0 0 Chief Executive Officer Common Stock, par value $0.0001 per share 2019-09-09 4 M 0 50000 10.25 A 1550641 D Common Stock, par value $0.0001 per share 10.25 2019-09-09 4 M 0 50000 0 D 2019-10-20 Common Stock, par value $0.0001 per share 50000.0 50000 D The option, representing a right to purchase a total of 100,000 shares, became exercisable in three equal annual installments beginning on October 20, 2010, which was the first anniversary of the date on which the option was granted. /s/ Stuart A. Tanz 2019-09-11