0001288136-12-000023.txt : 20120209
0001288136-12-000023.hdr.sgml : 20120209
20120209141927
ACCESSION NUMBER: 0001288136-12-000023
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120209
DATE AS OF CHANGE: 20120209
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-83227
FILM NUMBER: 12586314
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: Pine River Capital Management L.P.
CENTRAL INDEX KEY: 0001288136
IRS NUMBER: 710868907
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 601 CARLSON PARKWAY
STREET 2: SUITE 330
CITY: MINNETONKA
STATE: MN
ZIP: 55305
BUSINESS PHONE: 6122383300
MAIL ADDRESS:
STREET 1: 601 CARLSON PARKWAY
STREET 2: SUITE 330
CITY: MINNETONKA
STATE: MN
ZIP: 55305
FORMER COMPANY:
FORMER CONFORMED NAME: Pine River Capital Management, L.P.
DATE OF NAME CHANGE: 20040512
FORMER COMPANY:
FORMER CONFORMED NAME: NISSWA MASTER FUND LTD
DATE OF NAME CHANGE: 20040422
SC 13G/A
1
roic02072012prmf.txt
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 1)
Retail Opportunity Investments Corp.
-------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.0001 Par Value
-------------------------------------------------------------------------------
(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:
[ ] Rule 13d-1(b)
[x] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 76131N101
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Brian Taylor
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
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
5,284,751
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
5,284,751
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,284,751
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%*
12. TYPE OF REPORTING PERSON
IN
CUSIP No. 76131N101
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Pine River Capital Management L.P.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
0
6. SHARED VOTING POWER
5,284,751
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
5,284,751
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,284,751
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%*
12. TYPE OF REPORTING PERSON
PN
CUSIP No. 76131N101
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Pine River Master Fund Ltd.**
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [X]
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
4,709,430
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
4,709,430
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,709,430
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%*
12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
-------------------------------------------------------------------------------
CUSIP No. 76131N101
---------------------
Item 1(a). Name of Issuer:
Retail Opportunity Investments Corp.
--------------------------------------------------------------------
Item 1(b). Address of Issuer's Principal Executive Offices:
3 Manhattanville Road
Purchase, NY 10577
--------------------------------------------------------------------
Item 2(a). Name of Persons Filing:
Brian Taylor
Pine River Capital Management L.P.
Pine River Master Fund Ltd.
--------------------------------------------------------------------
Item 2(b). Address of Principal Business Office, or if None, Residence:
Brian Taylor
Pine River Capital Management L.P.
601 Carlson Parkway
Suite 330
Minnetonka, MN 55305
Pine River Master Fund Ltd.
c/o Pine River Capital Management L.P.
601 Carlson Parkway
Suite 330
Minnetonka, MN 55305
--------------------------------------------------------------------
Item 2(c). Citizenship:
Brian Taylor - United States
Pine River Capital Management L.P. - Delaware, United States
Pine River Master Fund Ltd. - Cayman Islands
--------------------------------------------------------------------
Item 2(d). Title of Class of Securities:
Common Stock, $.0001 Par Value
--------------------------------------------------------------------
Item 2(e). CUSIP Number:
76131N101
--------------------------------------------------------------------
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b)
or (c), Check Whether the Person Filing is a:
(a) [_] Broker or dealer registered under Section 15 of the Exchange Act.
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act.
(c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange
Act.
(d) [_] Investment company registered under Section 8 of the Investment
Company Act.
(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 association as defined in Section 3(b) of the Federal
Deposit Insurance Act;
(i) [_] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act;
(j) [_] Group, in accordance with Rule 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:
Brian Taylor - 5,284,751
Pine River Capital Management L.P. - 5,284,751
Pine River Master Fund Ltd. - 4,709,430
----------------------------------------------------------------------
(b) Percent of class:
Brian Taylor - 9.8%*
Pine River Capital Management L.P. - 9.8%*
Pine River Master Fund Ltd. - 9.8%*
----------------------------------------------------------------------
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
Pine River Master Fund Ltd. - 0
(ii) Shared power to vote or to direct the vote:
Brian Taylor - 5,284,751
Pine River Capital Management L.P. - 5,284,751
Pine River Master Fund Ltd. - 4,709,430
(iii) Sole power to dispose or to direct the disposition of:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
Pine River Master Fund Ltd. - 0
(iv) Shared power to dispose or to direct the disposition of:
Brian Taylor - 5,284,751
Pine River Capital Management L.P. - 5,284,751
Pine River Master Fund Ltd. - 4,709,430
Item 5. Ownership of Five Percent or Less of a Class.
N/A
-----------------------------------------------------------------------
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
N/A
-----------------------------------------------------------------------
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control
Person.
N/A
-----------------------------------------------------------------------
Item 8. Identification and Classification of Members of the Group.
N/A
----------------------------------------------------------------------
Item 9. Notice of Dissolution of Group.
N/A
-----------------------------------------------------------------------
Item 10. Certifications.
By signing below, each reporting person 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.
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.
/s/ Brian Taylor***
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.***
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Sole Member
Pine River Master Fund Ltd.***
/s/ Brian Taylor
----------------------
By: Brian Taylor
Title: Director
Date: February 9, 2012
* The exercise of the Issuer's warrants held by the Reporting Persons is
subject to certain limitations as per the Issuer's Supplement & Amendment
to Warrant Agreement dated as of October 20, 2009 (as filed with the
U.S. Securities and Exchange Comission on October 26, 2009).
As per the referenced document, no person may exercise
the Issuer's warrants, if, taking into account any of the Issuer's
common stock held by such person, and after giving effect to the
proposed warrant exercise, such person will beneficially own or
constructively own shares in excess of 9.8 percent of the outstanding
common stock of the Issuer.
** Effective June 30, 2011, the Reporting Person changed its name
from Nisswa Master Fund Ltd. to Pine River Master Fund Ltd.
***The Reporting Persons disclaim beneficial ownership in the
common stock reported herein except to the extent of their pecuniary
interest therein.
EXHIBIT A
AGREEMENT
The undersigned agree that this Schedule 13G dated February 9, 2012
relating to the Common Stock, $.0001 Par Value of
Retail Opportunity Investments Corp. shall be filed on behalf
of the undersigned.
/s/ Brian Taylor
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Sole Member
Pine River Master Fund Ltd.
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Director