SEC Form 4 · accession 0001171843-15-000058
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stuart A Tanz
Officer — Chief Executive Officer · Director
Period of report
Jan 1, 2015
Accepted (ET)
Jan 5, 2015 · 5:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001407623
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per shareF1 | Jan 1, 2015 | A | 25,000 | $0.00 | A | 1,004,602 | D | |
| Common Stock, par value $0.0001 per shareF2 | Jan 1, 2015 | A | 20,833 | $0.00 | A | 1,025,435 | D | |
| Common Stock, par value $0.0001 per shareF3 | Jan 1, 2015 | A | 25,000 | $0.00 | A | 1,050,435 | D | |
| Common Stock, par value $0.0001 per shareF4 | Jan 1, 2015 | F | 53,466 | $16.79 | D | 996,969 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 2, 2012, the reporting person was granted 75,000 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 25,000 shares on January 1, 2013, 25,000 shares on January 1, 2014 and 25,000 shares on January 1, 2015 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2012, 2013 and 2014. The performance criteria for 2014 were met, resulting in vesting of 25,000 shares. This report is being filed to reflect the vesting of these shares.
- F2On February 26, 2013, the reporting person was granted 62,500 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 20,834 shares on January 1, 2014, 20,833 shares on January 1, 2015 and 20,833 shares on January 1, 2016 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2013, 2014 and 2015. The performance criteria for 2014 were met, resulting in vesting of 20,833 shares. This report is being filed to reflect the vesting of these shares.
- F3On February 21, 2014, the reporting person was granted 75,000 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 25,000 shares on January 1, 2015, 25,000 shares on January 1, 2016 and 25,000 shares on January 1, 2017 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2014, 2015 and 2016. The performance criteria for 2014 were met, resulting in vesting of 25,000 shares. This report is being filed to reflect the vesting of these shares.
- F4Consists 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.