SEC Form 4 · accession 0001171843-18-005772
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard K. Schoebel
Officer — Chief Operating Officer
Period of report
Aug 2, 2018
Accepted (ET)
Aug 6, 2018 · 5:00 pm EDT
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 share | Aug 2, 2018 | M | 14,000 | $10.40 | A | 248,290 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $10.40 | Aug 2, 2018 | M | 14,000 | D | — | Dec 9, 2019 | Common Stock | 14,000 | 21,000 | D |
Explanation of responses
- F1The option, representing a right to purchase a total of 35,000 shares, became exercisable in five equal annual installments beginning on December 9, 2010, which was the first anniversary of the date on which the option was granted.