| 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 | +219K | +9.71% | $0.00 | 2.48M | Dec 26, 2024 | See footnote | F1, F2 |
| transaction | ROIC | Common Stock, par value $0.0001 per share | Tax liability | -$3.52M | -203K | -8.19% | $17.35 | 2.27M | Dec 26, 2024 | See footnote | F2, F3 |
| holding | ROIC | Common Stock, par value $0.0001 per share | 80.6K | Dec 26, 2024 | See footnote | F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | ROIC | OP Units | 114K | Dec 26, 2024 | Common Stock, par value $0.0001 per share | 114K | See footnote | F2, F5, F6 |
| Id | Content |
|---|---|
| F1 | On February 15, 2022, the reporting person was granted, subject to vesting, 219,178 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 Second 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, 2022 to December 31, 2024 (the "performance period"). Such awards were modified in December 2024 to accelerate the vesting of such awards from January 2025 to December 26, 2024 and for such awards to be deemed achieved at maximum-level performance irrespective of the terms of the award agreements governing such awards. |
| 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 Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which the reporting person's spouse 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 | These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. |
| F5 | 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. |
| F6 | N/A |