Michael B. Haines - Jan 1, 2024 Form 4 Insider Report for RETAIL OPPORTUNITY INVESTMENTS CORP (ROIC)

Role
EVP CFO, TREASURER & SECRETARY
Signature
/s/ Michael B. Haines
Stock symbol
ROIC
Transactions as of
Jan 1, 2024
Transactions value $
-$196,462
Form type
4
Date filed
1/3/2024, 04:09 PM
Previous filing
Feb 22, 2023
Next filing
Jan 16, 2024

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 Tax liability -$196K -14K -4.12% $14.03 326K Jan 1, 2024 See footnote F1, F2

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 36K Jan 1, 2024 Common Stock, par value $0.0001 per share 36K See footnote F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Consists of shares of common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), withheld by the Company in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted common stock that vested.
F2 These shares of common stock or units of limited partner interest ("OP Units") of Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") and the operating partnership of the Company, as the case may be, are held by the Michael B. Haines Trust dated August 19, 2004 of which the reporting person is a Trustee.
F3 The reporting person has the right to cause the Partnership to redeem some or all of the reporting person's 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.
F4 N/A