SEC Form 4 · accession 0001171843-18-007306
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
Oct 25, 2018
Accepted (ET)
Oct 29, 2018 · 4:31 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 shareF1 | Oct 25, 2018 | M | 10,000 | $12.41 | A | 162,601 | 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 | $12.41 | Oct 25, 2018 | M | 10,000 | D | — | Nov 25, 2022 | Common Stock | 10,000 | 15,000 | D |
Explanation of responses
- F1The option, representing a right to purchase a total of 25,000 shares, became exercisable in three equal annual installments beginning on November 25, 2013, which was the first anniversary of the date on which the option was granted.