0001172661-12-000195.txt : 20120214
0001172661-12-000195.hdr.sgml : 20120214
20120214115033
ACCESSION NUMBER: 0001172661-12-000195
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
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: 12604958
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: Walleye Trading LLC
CENTRAL INDEX KEY: 0001388391
IRS NUMBER: 141931232
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 14601 27TH AVE N
STREET 2: SUITE 102
CITY: PLYMOUTH
STATE: MN
ZIP: 55447
BUSINESS PHONE: 952-345-6605
MAIL ADDRESS:
STREET 1: 14601 27TH AVE N
STREET 2: SUITE 102
CITY: PLYMOUTH
STATE: MN
ZIP: 55447
SC 13G
1
ROIC123111.txt
SCHEDULE 13G HOLDINGS REPORT
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
(Title of Class of Securities)
76131N101
(CUSIP Number)
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] 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.
Walleye Trading, LLC
2. Check the Appropriate Box if a Member Of a Group
[ ] (a)
[X] (b)
3. SEC Use Only
4. Citizenship or Place of Organization
Delaware, United States
5. Sole Voting Power: 0
Number of
Shares 6. Shared Voting Power: 3,541,807
Beneficially
Owned by 7. Sole Dispositive Power: 0
Each Reporting
Person With 8. Shared Dispositive Power: 3,541,807
9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,541,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
11. Percent of Class Represented by Amount in Row (9)
6.66%
12. Type of Reporting Person
BD
CUSIP No. 76131N101
1. Names of Reporting Persons.
Walleye Trading Advisors, LLC
2. Check the Appropriate Box if a Member Of a Group
[ ] (a)
[X] (b)
3. SEC Use Only
4. Citizenship or Place of Organization
Minnesota, United States
5. Sole Voting Power: 0
Number of
Shares 6. Shared Voting Power: 3,541,807
Beneficially
Owned by 7. Sole Dispositive Power: 0
Each Reporting
Person With 8. Shared Dispositive Power: 3,541,807
9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,541,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
11. Percent of Class Represented by Amount in Row (9)
6.66%
12. Type of Reporting Person
PN
Item 1. (a) Name of Issuer: Retail Opportunity Investments Corp
(b) Address of Issuer's Principal Executive Offices:
3 Manhattanville Road
Purchase, NY 10577
Item 2. (a) Name of Person Filing:
(i) Walleye Trading, LLC
(ii) Walleye Trading Advisors, LLC, the Manager of Walleye
Trading, LLC
Walleye Trading, LLC and Walleye Trading Advisors, LLC are herein
referred to as the "Reporting Persons".
(b) Address of Principal Business Office, or, if None, Residence:
14601 27th Ave. N, Suite. 102
Plymouth, MN 55447
(c) Citizenship:
Please see Item 4 on the cover sheet for each of the Reporting Persons
(d) Title of Class of Securities:
Common Stock
(e) CUSIP No.: 76131N101
Item 3. If This Statement is Filed Pursuant to Rules 13d-1(b), or 13d-2(b) or
(c), Check Whether the Person Filing is a:
(a) [X] Broker or dealer registered under Section 15 of the Act.
(b) [ ] Bank as defined in Section 3(a)(6) of the Act.
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act.
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940.
(e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] 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;
(j) [ ] A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
(k) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
Item 4. Ownership
As of the date of this filing, the Reporting Persons may be deemed to be the
beneficial owner of 3,541,807 shares if warrants were exercised. The
percent of class is determined based on 53,218,797 shares, the number of
shares issued and outstanding, 49,676,990, plus the number of shares that
could be acquired if warrants were exercised, 3,541,807.
A. Walleye Trading, LLC
(a) Amount beneficially owned: 3,541,807
(b) Percent of class: 6.66%
(c)(i) Sole power to vote or direct the vote: 0
(ii) Shared power to vote or direct the vote: 3,541,807
(iii) Sole power to dispose or direct the disposition: 0
(iv) Shared power to dispose or direct the disposition:
3,541,807
B. Walleye Trading Advisors, LLC
(a) Amount beneficially owned: 3,541,807
(b) Percent of class: 6.66%
(c)(i) Sole power to vote or direct the vote: 0
(ii) Shared power to vote or direct the vote: 3,541,807
(iii) Sole power to dispose or direct the disposition: 0
(iv) Shared power to dispose or direct the disposition:
3,541,807
Item 5. Ownership of Five Percent or Less of a Class
Not Applicable
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
or Control Person
Not Applicable
Item 8. Identification and Classification of Members of the Group
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certifications
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired and are held in the ordinary
course of business and 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.
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.
Dated: February 14, 2012
Walleye Trading, LLC
By: /s/ Peter Goddard
--------------------------
Name: Peter Goddard
Title: Chief Compliance Officer
Walleye Trading Advisors, LLC
By: /s/ Peter Goddard
--------------------------
Name: Peter Goddard
Title: Chief Compliance Officer