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