Filing Details

Accession Number:
0001407623-19-000043
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-11-19 16:34:15
Reporting Period:
2019-11-15
Accepted Time:
2019-11-19 16:34:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1407623 Retail Opportunity Investments Corp ROIC Real Estate Investment Trusts (6798) 260500600
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1562225 B. Michael Haines C/O Retail Opportunity Investments Corp.
11250 El Camino Real, Suite 200
San Diego CA 92130
Evp Cfo, Treasurer & Secretary No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share Disposition 2019-11-15 10,000 $18.30 186,997 No 4 S Indirect See footnote
Common Stock, Par Value $0.0001 Per Share Acquisiton 2019-11-18 15,000 $12.41 201,997 No 4 M Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
No 4 M Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.0001 Per Share Common Stock, par value $0.0001 per share Acquisiton 2019-11-18 15,000 $0.00 15,000 $12.41
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2022-11-25 No 4 M Direct
Footnotes
  1. These shares are held by the Michael B. Haines Trust dated August 19, 2004 of which Michael B. Haines is a Trustee.
  2. The option, representing a right to purchase a total of 25,000 shares, became exercisable in three equal installments beginning on November 25, 2013, which was the first anniversary of the date on which the option was granted.