SEC Form 4 · accession 0001171843-17-000084
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
May 11, 2011
Accepted (ET)
Jan 4, 2017 · 6:41 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,F2 | May 11, 2011 | S | 5,000 | $10.8281 | D | 0 | I | See footnote |
| Common Stock, par value $0.0001 per shareF1 | May 18, 2011 | S | 10,000 | $11.0863 | D | 20,139 | D | |
| Common Stock, par value $0.0001 per shareF3 | Jan 1, 2017 | A | 3,786 | $0.00 | A | 23,925 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported on this line is being reported late due to an inadvertent administrative oversight.
- F2These shares were held by Perco Management Defined Benefit Pension Trust, of which Jules Levy is Trustee and Mr. Persico is the reporting person.
- F3The reporting person was granted 3,786 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. All of such shares vest on January 1, 2018.