SEC Form 4 · accession 0001171843-19-001102
RETAIL OPPORTUNITY INVESTMENTS CORP · ROIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurie A. Sneve
Officer — Sr.VP,Chief Accounting Officer
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 4:30 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 | Feb 19, 2019 | A | 20,000 | $0.00 | A | 103,765 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person was granted 20,000 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2020 and the first two anniversaries thereafter.
- F2These shares are held by the Jerry B. Sneve and Laurie A. Sneve Family Trust dated March 6, 2006 of which Laurie A. Sneve is a Trustee.