Filing Details
- Accession Number:
- 0001407623-21-000047
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-05 16:03:08
- Reporting Period:
- 2021-03-03
- Accepted Time:
- 2021-03-05 16:03:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1407623 | Retail Opportunity Investments Corp | ROIC | Real Estate Investment Trusts (6798) | 260500600 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1477259 | K. Richard Schoebel | C/O Retail Opportunity Investments Corp. 11250 El Camino Real, Suite 200 San Diego CA 92130 | Chief Operating Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-03-03 | 7,000 | $16.17 | 352,445 | No | 4 | S | Indirect | See footnote |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-03-03 | 7,000 | $16.14 | 345,445 | No | 4 | S | Indirect | See footnote |
| Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2021-03-03 | 35,000 | $10.88 | 380,445 | No | 4 | M | Indirect | See footnote |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-03-04 | 5,000 | $15.89 | 375,445 | No | 4 | S | Indirect | See footnote |
| Common Stock, Par Value $0.0001 Per Share | Disposition | 2021-03-04 | 5,000 | $15.82 | 370,445 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | M | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.0001 Per Share | Common Stock, par value $0.0001 per share | Acquisiton | 2021-03-03 | 35,000 | $0.00 | 35,000 | $10.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-03-11 | No | 4 | M | Direct |
Footnotes
- These shares are held by the Schoebel Family Trust dated June 7, 2013 of which Richard K. Schoebel is a Trustee.
- The option, representing a right to purchase a total of 35,000 shares, became exercisable in five equal annual installments beginning on March 11, 2012, which was the first anniversary of the date on which the option was granted.
Billionaire Hedge Funds
