Richard A. Baker - Feb 15, 2022 Form 4 Insider Report for RETAIL OPPORTUNITY INVESTMENTS CORP (ROIC)

Role
Director, Non-Executive Chairman
Signature
/s/ Michael B. Haines, Attorney-in-fact for Richard A. Baker
Stock symbol
ROIC
Transactions as of
Feb 15, 2022
Transactions value $
$0
Form type
4
Date filed
2/17/2022, 06:02 PM
Previous filing
Jan 19, 2022
Next filing
Jan 4, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROIC Common Stock, par value $0.0001 per share Award $0 +11.6K +3.98% $0.00 304K Feb 15, 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ROIC OP Units 12.6K Feb 15, 2022 Common Stock, par value $0.0001 per share 12.6K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person was granted 11,644 shares of restricted common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), 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, 2023 and the first two anniversaries thereafter.
F2 The reporting person has the right to cause Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") and the operating partnership of the Company, to redeem some or all of the reporting person's units of limited partner interest of the Partnership ("OP Units") for cash in an amount equal to the market value (as defined in Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended) of an equivalent number of shares of common stock or at the Company's option, shares of common stock on a one-for-one basis, subject to certain adjustments.
F3 N/A