SEC Form 4 · accession 0001171843-17-000092
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael B. Haines
Officer — EVP CFO, TREASURER & SECRETARY
Period of report
Jan 1, 2017
Accepted (ET)
Jan 4, 2017 · 7:11 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, 2017 | A | 5,833 | $0.00 | A | 106,232 | D | |
| Common Stock, par value $0.0001 per shareF2 | Jan 1, 2017 | A | 6,667 | $0.00 | A | 112,899 | D | |
| Common Stock, par value $0.0001 per shareF3 | Jan 1, 2017 | F | 12,382 | $21.13 | D | 100,517 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 21, 2014, the reporting person was granted 17,500 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 5,834 shares on January 1, 2015, 5,833 shares on January 1, 2016 and 5,833 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 2016 were met, resulting in vesting of 5,833 shares. This report is being filed to reflect the vesting of these shares.
- F2On February 24, 2015, the reporting person was granted 20,000 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 6,667 shares on January 1, 2016, 6,667 shares on January 1, 2017 and 6,666 shares on January 1, 2018 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2015, 2016 and 2017. The performance criteria for 2016 were met, resulting in vesting of 6,667 shares. This report is being filed to reflect the vesting of these shares.
- F3Consists 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.