0001407623-20-000037.txt : 20200220 0001407623-20-000037.hdr.sgml : 20200220 20200220195113 ACCESSION NUMBER: 0001407623-20-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200218 FILED AS OF DATE: 20200220 DATE AS OF CHANGE: 20200220 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: 20637082 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_158224625592755.xml FORM 4 X0306 4 2020-02-18 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 2020-02-18 4 A 0 11758 0 A 286168 D The reporting person was granted 11,758 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2021 and the first two anniversaries thereafter. /s/ Richard A. Baker 2020-02-20