| 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 | +52.7K | +16.19% | $0.00 | 379K | Jan 15, 2024 | See footnote | F1, F2 |
| transaction | ROIC | Common Stock, par value $0.0001 per share | Tax liability | -$264K | -18.8K | -4.97% | $14.03 | 360K | Jan 15, 2024 | See footnote | F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | ROIC | OP Units | 36K | Jan 15, 2024 | Common Stock, par value $0.0001 per share | 36K | See footnote | F2, F4, F5 |
| Id | Content |
|---|---|
| F1 | On February 23, 2021, the reporting person was granted, subject to vesting, 70,326 restricted shares of 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 Company's Amended and Restated 2009 Equity Incentive Plan and such amount reflects the maximum earnable award under such grant. Vesting of the shares was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2021 to December 31, 2023 (the "performance period"). Certain of such performance criteria were met during the performance period resulting in vesting of 52,746 shares on January 15, 2024. |
| 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 | Consists of shares of common stock of 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. |
| F4 | 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. |
| F5 | N/A |