SEC Form 4 · accession 0001171843-15-001080
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J. Persico
Director
Period of report
Feb 24, 2015
Accepted (ET)
Feb 26, 2015 · 3:15 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 | Feb 24, 2015 | A | 4,670 | $0.00 | A | 25,670 | D | |
| Common Stock, par value $0.0001 per shareF2 | holding | — | — | — | 5,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person was granted 4,670 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest in equal installments on January 1, 2016 and the first two anniversaries thereafter.
- F2These shares are held by Perco Management Defined Benefit Pension Trust, of which Jules Levy is Trustee and Mr. Persico is the reporting person.