Accession Number: | 0001407623-21-000037 |
Date: | 2021-02-23 |
Issuer: | RETAIL OPPORTUNITY INVESTMENTS CORP (ROIC) |
Original Submission Date: |
HAINES MICHAEL B.
C/O RETAIL OPPORTUNITY INVESTMENTS CORP.
11250 EL CAMINO REAL, SUITE 200
SAN DIEGO, CA 92130
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
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COMMON STOCK, PAR VALUE $0.0001 PER SHARE | 2021-02-23 | A | 35,163 | a | $0.00 | 260,509 | indirect | f2 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |