0001407623-20-000021.txt : 20200103 0001407623-20-000021.hdr.sgml : 20200103 20200103194454 ACCESSION NUMBER: 0001407623-20-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200101 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER RICHARD A. CENTRAL INDEX KEY: 0001415409 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33749 FILM NUMBER: 20507716 MAIL ADDRESS: STREET 1: 3 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 FORMER NAME: FORMER CONFORMED NAME: Baker Richard A. DATE OF NAME CHANGE: 20071017 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_157809867701999.xml FORM 4 X0306 4 2020-01-01 0 0001407623 RETAIL OPPORTUNITY INVESTMENTS CORP ROIC 0001415409 BAKER RICHARD A. C/O RETAIL OPPORTUNITY INVESTMENTS CORP. 11250 EL CAMINO REAL, SUITE 200 SAN DIEGO CA 92130 1 0 0 1 Non-Executive Chairman Common Stock, par value $0.0001 per share 2020-01-01 4 A 0 6293 0 A 279319 D Common Stock, par value $0.0001 per share 2020-01-01 4 F 0 4909 17.66 D 274410 D On February 22, 2017, the reporting person was granted 17,400 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. Vesting of the shares was based on the Issuer's achievement of certain performance criteria during the performance period from January 1, 2017 to December 31, 2019. Certain of the performance criteria were met during the performance period resulting in vesting of 6,293 shares on January 1, 2020. Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. /s/ Richard A. Baker 2020-01-03