Key facts
- This page summarizes Stuart A. Tanz's Form 4 filing for RETAIL OPPORTUNITY INVESTMENTS CORP.
- 1 reported transaction and 1 derivative row are listed below.
- Accepted by SEC: 21 Feb 2024, 19:24.
Stuart A. Tanz - 20 Feb 2024 Form 4 Insider Report for RETAIL OPPORTUNITY INVESTMENTS CORP
- Reporting relationship
- Chief Executive Officer, Director
- Issuer ticker
- N/A
- Reported as of
- 20 Feb 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 21 Feb 2024, 19:24:55 UTC
- Prior SEC filing
- 16 Jan 2024
- Next SEC filing
- 16 Dec 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Michael B. Haines, Attorney-in-fact for Stuart A. Tanz
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Stuart A. Tanz filed Form 4 for RETAIL OPPORTUNITY INVESTMENTS CORP on 21 Feb 2024.
Change
- Previous filing in this sequence was filed on 16 Jan 2024.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ROIC
transaction
Common Stock, par value $0.0001 per share
Award
- Transaction value
- $0
- Shares
- +166,406
- Change %
- +8.8%
- Price
- $0.000000
- Shares after
- 2,066,031
- Date
- 20 Feb 2024
- Ownership
- See footnote
- Footnotes
- F1, F2
ROIC
holding
Common Stock, par value $0.0001 per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 143,833
- Date
- 20 Feb 2024
- Ownership
- See footnote
- Footnotes
- F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ROIC
holding
Derivative
OP Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 113,727
- Date
- 20 Feb 2024
- Ownership
- See footnote
- Underlying class
- Common Stock, par value $0.0001 per share
- Underlying amount
- 113,727
- Exercise price
- Footnotes
- F2, F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
The reporting person was granted 166,406 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. Second Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2025 and the first two anniversaries thereafter.
Footnote 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.
Footnote F3
These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee.
Footnote 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.
Footnote F5
N/A