SEC Form 4 · accession 0001171843-19-000120
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stuart A Tanz
Officer — Chief Executive Officer · Director
Period of report
Jan 1, 2019
Accepted (ET)
Jan 3, 2019 · 9:23 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, 2019 | A | 52,800 | $0.00 | A | 1,447,837 | D | |
| Common Stock, par value $0.0001 per shareF2 | Jan 1, 2019 | F | 52,706 | $15.88 | D | 1,395,131 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 23, 2016, the reporting person was granted 70,400 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. Vesting of the shares was based on the Issuer's achievement of certain performance criteria during the performance period from January 1, 2016 to December 31, 2018. Certain of the performance criteria were met during the performance period resulting in vesting of 52,800 shares on January 1, 2019.
- F2Consists 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.