Statement of Changes in Beneficial Ownership (4)
February 25 2021 - 5:34PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sneve Laurie A. |
2. Issuer Name and Ticker or Trading Symbol
RETAIL OPPORTUNITY INVESTMENTS CORP
[
ROIC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr.VP,Chief Accounting Officer |
(Last)
(First)
(Middle)
C/O RETAIL OPPORTUNITY INVESTMENTS CORP., 11250 EL CAMINO REAL, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/23/2021 |
(Street)
SAN DIEGO, CA 92130
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.0001 per share | 2/23/2021 | | A | | 23100 (1) | A | $0 | 131941 | I | See footnote (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reporting person was granted 23,100 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. 20,000 shares vest ratably over a 3-year period on January 1, 2022 and the first two anniversaries thereafter and 3,100 shares vest ratably over a 2-year period on January 1, 2022 and the first anniversary thereafter. |
(2) | These 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sneve Laurie A. C/O RETAIL OPPORTUNITY INVESTMENTS CORP. 11250 EL CAMINO REAL, SUITE 200 SAN DIEGO, CA 92130 |
|
| Sr.VP,Chief Accounting Officer |
|
Signatures
|
/s/ Laurie A. Sneve | | 2/25/2021 |
**Signature of Reporting Person | Date |
Retail Oppurtunity Inves... (NASDAQ:ROIC)
Historical Stock Chart
From Aug 2024 to Sep 2024
Retail Oppurtunity Inves... (NASDAQ:ROIC)
Historical Stock Chart
From Sep 2023 to Sep 2024