Form Type: 4

SEC EDGAR Link
Accession Number:0001407623-21-000037
Date:2021-02-23
Issuer: RETAIL OPPORTUNITY INVESTMENTS CORP (ROIC)
Original Submission Date:

Reporting Person:

HAINES MICHAEL B.
C/O RETAIL OPPORTUNITY INVESTMENTS CORP.
11250 EL CAMINO REAL, SUITE 200 SAN DIEGO, CA 92130

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.0001 PER SHARE 2021-02-23 A 35,163 a $0.00 260,509 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the reporting person was granted 35,163 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, 2022 and the first two anniversaries thereafter.
f2 these shares are held by the michael b. haines trust dated august 19, 2004 of which michael b. haines is a trustee.
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