person · Reporting owner

TANZ STUART A

Disclosed activity across 2 companies

Tapewire entity: 42788
SEC CIK: 0001203845

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
American Assets Trust, Inc.AAT · Entity 647	Director	June 01, 2026	June 01, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

American Assets Trust, Inc.

Report date June 01, 2026 · Filed June 01, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	Direct	3,843	Reported balance After 2026-06-01 transaction · row 1 1 source row Row 1 · 2026-06-01 · Grant · Acquired 3,843 · Balance 3,843 F1: Shares of restricted common stock issued to the Reporting Person as a non-employee director pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of restricted common stock issued to the Reporting Person as a non-employee director pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

RETAIL OPPORTUNITY INVESTMENTS CORP

Report date February 12, 2025 · Filed February 14, 2025

Section 16 reporting ended · disclosed 2025-02-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnote	0	Reported balance After 2025-02-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-02-12 · Disposition to issuer · Disposed 2,235,965 · Balance 0 F1: Certain of the amounts being disposed are 157,621 shares the reporting person was previously granted 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, previously reported on Form 4. These shares were subject to time-based vesting, the vesting of which was accelerated immediately prior to the Company Merger Effective Time (as defined in the Merger Agreement). F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 6, 2024, by and among Montana Purchaser LLC ("Buyer 1"), Mountain Purchaser LLC ("Buyer 2"), Big Sky Purchaser LLC ("Buyer 3" and, together with Buyer 1 and Buyer 2, collectively, the "Parent Entities"), Montana Merger Sub Inc. ("Merger Sub I"), Montana Merger Sub II LLC ("Merger Sub II"), the Company and Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") at the Company Merger Effective Time, each outstanding share of common stock was automatically canceled and converted into the right to receive an amount in cash equal to $17.50, without interest. As of the Company Merger Effective Time all common stock issued and outstanding immediately prior to the Company Merger Effective Time are no longer outstanding and were automatically canceled and cease to exist. F3: 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.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnote	0	Reported balance After 2025-02-12 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2025-02-12 · Disposition to issuer · Disposed 80,590 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 6, 2024, by and among Montana Purchaser LLC ("Buyer 1"), Mountain Purchaser LLC ("Buyer 2"), Big Sky Purchaser LLC ("Buyer 3" and, together with Buyer 1 and Buyer 2, collectively, the "Parent Entities"), Montana Merger Sub Inc. ("Merger Sub I"), Montana Merger Sub II LLC ("Merger Sub II"), the Company and Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") at the Company Merger Effective Time, each outstanding share of common stock was automatically canceled and converted into the right to receive an amount in cash equal to $17.50, without interest. As of the Company Merger Effective Time all common stock issued and outstanding immediately prior to the Company Merger Effective Time are no longer outstanding and were automatically canceled and cease to exist. F4: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee.
OP UnitsSEC Table II · derivative / convertible security	IndirectSee footnote	393,839	Reported balance After 2025-02-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-02-12 · Grant · Acquired 280,112 · Balance 393,839 F3: 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. F5: On February 21, 2023, the reporting person was granted, subject to vesting, 280,112 long-term incentive plan units ("LTIP Units") of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2023 to December 31, 2025 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time vested. F6: Pursuant to the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement"), the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 280,112 LTIP Units for 280,112 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F7: N/A
OP UnitsSEC Table II · derivative / convertible security	IndirectSee footnote	726,649	Reported balance After 2025-02-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-02-12 · Grant · Acquired 332,810 · Balance 726,649 F3: 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. F8: On February 20, 2024, the reporting person was granted, subject to vesting, 332,810 LTIP Units of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2024 to December 31, 2026 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time became fully vested. F9: Pursuant to the Partnership Agreement, the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 332,810 LTIP Units for 332,810 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F7: N/A
OP UnitsSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2025-02-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2025-02-12 · Disposition to issuer · Disposed 726,649 · Balance 0 F3: 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. F10: The OP Units were convertible for a number of shares of common stock of equivalent value. Pursuant to the Merger Agreement, each qualifying holder of OP Units was provided the option to, at their election, retain such OP Units in the Surviving Partnership (as defined in the Merger Agreement). Such retained OP Units will remain outstanding as fully paid OP Units of the Surviving Partnership at the Partnership Merger Effective Time (as defined in the Merger Agreement). The reporting person has elected to retain 100% of the reporting person's OP Units in the Surviving Partnership.

Filing footnotes · ownership attribution and instrument terms

F1: Certain of the amounts being disposed are 157,621 shares the reporting person was previously granted 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, previously reported on Form 4. These shares were subject to time-based vesting, the vesting of which was accelerated immediately prior to the Company Merger Effective Time (as defined in the Merger Agreement).

F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 6, 2024, by and among Montana Purchaser LLC ("Buyer 1"), Mountain Purchaser LLC ("Buyer 2"), Big Sky Purchaser LLC ("Buyer 3" and, together with Buyer 1 and Buyer 2, collectively, the "Parent Entities"), Montana Merger Sub Inc. ("Merger Sub I"), Montana Merger Sub II LLC ("Merger Sub II"), the Company and Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") at the Company Merger Effective Time, each outstanding share of common stock was automatically canceled and converted into the right to receive an amount in cash equal to $17.50, without interest. As of the Company Merger Effective Time all common stock issued and outstanding immediately prior to the Company Merger Effective Time are no longer outstanding and were automatically canceled and cease to exist.

F3: 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.

F4: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee.

F5: On February 21, 2023, the reporting person was granted, subject to vesting, 280,112 long-term incentive plan units ("LTIP Units") of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2023 to December 31, 2025 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time vested.

F6: Pursuant to the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement"), the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 280,112 LTIP Units for 280,112 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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.

F7: N/A

F8: On February 20, 2024, the reporting person was granted, subject to vesting, 332,810 LTIP Units of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2024 to December 31, 2026 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time became fully vested.

F9: Pursuant to the Partnership Agreement, the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 332,810 LTIP Units for 332,810 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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.

F10: The OP Units were convertible for a number of shares of common stock of equivalent value. Pursuant to the Merger Agreement, each qualifying holder of OP Units was provided the option to, at their election, retain such OP Units in the Surviving Partnership (as defined in the Merger Agreement). Such retained OP Units will remain outstanding as fully paid OP Units of the Surviving Partnership at the Partnership Merger Effective Time (as defined in the Merger Agreement). The reporting person has elected to retain 100% of the reporting person's OP Units in the Surviving Partnership.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 01, 2026 Filed Jun 1, 2026 22:08 UTC	American Assets Trust, Inc. AAT · Entity 647	GrantCommon Stock, par value $0.01	3,843	$0.00	$0.00	Disclosure SEC source: 0001203845-26-000005 · wk-form4_1780351681.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,843 F1 · shares: Shares of restricted common stock issued to the Reporting Person as a non-employee director pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan. Read SEC document
February 12, 2025 Filed Feb 14, 2025 16:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Disposition to issuerOP Units · Derivative	726,649	$17.50	$12,716,357.50	Disclosure SEC source: 0001407623-25-000045 · wk-form4_1739567559.xml · derivative · entry 5 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock, par value $0.0001 per share · 726,649 shares Expires not disclosed F3 · derivative.exercise_price: 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. F10 · derivative.exercise_price: The OP Units were convertible for a number of shares of common stock of equivalent value. Pursuant to the Merger Agreement, each qualifying holder of OP Units was provided the option to, at their election, retain such OP Units in the Surviving Partnership (as defined in the Merger Agreement). Such retained OP Units will remain outstanding as fully paid OP Units of the Surviving Partnership at the Partnership Merger Effective Time (as defined in the Merger Agreement). The reporting person has elected to retain 100% of the reporting person's OP Units in the Surviving Partnership. F10 · derivative.exercise_date: The OP Units were convertible for a number of shares of common stock of equivalent value. Pursuant to the Merger Agreement, each qualifying holder of OP Units was provided the option to, at their election, retain such OP Units in the Surviving Partnership (as defined in the Merger Agreement). Such retained OP Units will remain outstanding as fully paid OP Units of the Surviving Partnership at the Partnership Merger Effective Time (as defined in the Merger Agreement). The reporting person has elected to retain 100% of the reporting person's OP Units in the Surviving Partnership. F10 · derivative.expiration_date: The OP Units were convertible for a number of shares of common stock of equivalent value. Pursuant to the Merger Agreement, each qualifying holder of OP Units was provided the option to, at their election, retain such OP Units in the Surviving Partnership (as defined in the Merger Agreement). Such retained OP Units will remain outstanding as fully paid OP Units of the Surviving Partnership at the Partnership Merger Effective Time (as defined in the Merger Agreement). The reporting person has elected to retain 100% of the reporting person's OP Units in the Surviving Partnership. F3 · ownership.nature: 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. Read SEC document
February 12, 2025 Filed Feb 14, 2025 16:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantOP Units · Derivative	332,810	$0.00	$0.00	Disclosure SEC source: 0001407623-25-000045 · wk-form4_1739567559.xml · derivative · entry 4 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 726,649 Underlying: Common Stock, par value $0.0001 per share · 332,810 shares Expires not disclosed F3 · derivative.exercise_price: 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. F8 · derivative.exercise_price: On February 20, 2024, the reporting person was granted, subject to vesting, 332,810 LTIP Units of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2024 to December 31, 2026 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time became fully vested. F9 · derivative.exercise_price: Pursuant to the Partnership Agreement, the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 332,810 LTIP Units for 332,810 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F9 · derivative.exercise_date: Pursuant to the Partnership Agreement, the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 332,810 LTIP Units for 332,810 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F7 · derivative.expiration_date: N/A F3 · ownership.nature: 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. Read SEC document
February 12, 2025 Filed Feb 14, 2025 16:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantOP Units · Derivative	280,112	$0.00	$0.00	Disclosure SEC source: 0001407623-25-000045 · wk-form4_1739567559.xml · derivative · entry 3 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 393,839 Underlying: Common Stock, par value $0.0001 per share · 280,112 shares Expires not disclosed F3 · derivative.exercise_price: 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. F5 · derivative.exercise_price: On February 21, 2023, the reporting person was granted, subject to vesting, 280,112 long-term incentive plan units ("LTIP Units") of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2023 to December 31, 2025 (the "performance period"). Pursuant to the Merger Agreement, effective immediately prior to the Company Merger Effective Time, each LTIP (vested or unvested) that is outstanding immediately prior to the Company Merger Effective Time vested. F6 · derivative.exercise_price: Pursuant to the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement"), the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 280,112 LTIP Units for 280,112 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F6 · derivative.exercise_date: Pursuant to the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement"), the general partner of the Partnership caused a Forced Redemption (as defined in the Partnership Agreement) immediately prior to the Partnership Merger Effective Time (as defined in the Merger Agreement), thereby redeeming 280,112 LTIP Units for 280,112 OP Units. The reporting person has the right to cause the Partnership to redeem such OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) 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. F7 · derivative.expiration_date: N/A F3 · ownership.nature: 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. Read SEC document
February 12, 2025 Filed Feb 14, 2025 16:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Disposition to issuerCommon Stock, par value $0.0001 per share	80,590	$17.50	$1,410,325.00	Disclosure SEC source: 0001407623-25-000045 · wk-form4_1739567559.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F2 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 6, 2024, by and among Montana Purchaser LLC ("Buyer 1"), Mountain Purchaser LLC ("Buyer 2"), Big Sky Purchaser LLC ("Buyer 3" and, together with Buyer 1 and Buyer 2, collectively, the "Parent Entities"), Montana Merger Sub Inc. ("Merger Sub I"), Montana Merger Sub II LLC ("Merger Sub II"), the Company and Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") at the Company Merger Effective Time, each outstanding share of common stock was automatically canceled and converted into the right to receive an amount in cash equal to $17.50, without interest. As of the Company Merger Effective Time all common stock issued and outstanding immediately prior to the Company Merger Effective Time are no longer outstanding and were automatically canceled and cease to exist. F4 · ownership.nature: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. Read SEC document
February 12, 2025 Filed Feb 14, 2025 16:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Disposition to issuerCommon Stock, par value $0.0001 per share	2,235,965	$17.50	$39,129,387.50	Disclosure SEC source: 0001407623-25-000045 · wk-form4_1739567559.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · shares: Certain of the amounts being disposed are 157,621 shares the reporting person was previously granted 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, previously reported on Form 4. These shares were subject to time-based vesting, the vesting of which was accelerated immediately prior to the Company Merger Effective Time (as defined in the Merger Agreement). F2 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated November 6, 2024, by and among Montana Purchaser LLC ("Buyer 1"), Mountain Purchaser LLC ("Buyer 2"), Big Sky Purchaser LLC ("Buyer 3" and, together with Buyer 1 and Buyer 2, collectively, the "Parent Entities"), Montana Merger Sub Inc. ("Merger Sub I"), Montana Merger Sub II LLC ("Merger Sub II"), the Company and Retail Opportunity Investments Partnership, LP, a Delaware limited partnership (the "Partnership") at the Company Merger Effective Time, each outstanding share of common stock was automatically canceled and converted into the right to receive an amount in cash equal to $17.50, without interest. As of the Company Merger Effective Time all common stock issued and outstanding immediately prior to the Company Merger Effective Time are no longer outstanding and were automatically canceled and cease to exist. F3 · ownership.nature: 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. Read SEC document
January 01, 2025 Filed Jan 3, 2025 16:14 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	38,268	$17.36	$664,332.48	Disclosure SEC source: 0001407623-25-000010 · wk-form4_1735938861.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,235,965 F1 · shares: 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 · ownership.nature: 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. Read SEC document
December 26, 2024 Filed Dec 30, 2024 16:33 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	203,007	$17.35	$3,522,171.45	Disclosure SEC source: 0001407623-24-000102 · wk-form4_1735594397.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,274,233 F3 · shares: 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. F2 · ownership.nature: 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. Read SEC document
December 26, 2024 Filed Dec 30, 2024 16:33 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	219,178	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000102 · wk-form4_1735594397.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,477,240 F1 · shares: 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 · ownership.nature: 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. Read SEC document
December 13, 2024 Filed Dec 16, 2024 18:09 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	128,788	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000095 · wk-form4_1734390587.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,258,062 F1 · shares: The reporting person was granted 128,788 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 December 13, 2025 and the first two anniversaries thereafter. F2 · ownership.direct: On December 5, 2024, the reporting person transferred a total of 63,243 shares of common stock from two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. F3 · ownership.nature: 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. Read SEC document
December 05, 2024 Filed Dec 16, 2024 18:09 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	63,243	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000095 · wk-form4_1734390587.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 80,590 F2 · ownership.direct: On December 5, 2024, the reporting person transferred a total of 63,243 shares of common stock from two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. F4 · ownership.nature: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. Read SEC document
February 20, 2024 Filed Feb 21, 2024 19:24 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	166,406	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000054 · wk-form4_1708561484.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,066,031 F1 · shares: 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. F2 · ownership.nature: 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. Read SEC document
January 15, 2024 Filed Jan 16, 2024 17:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	77,240	$14.03	$1,083,677.20	Disclosure SEC source: 0001407623-24-000034 · wk-form4_1705443166.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,899,625 F3 · shares: 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. F2 · ownership.nature: 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. Read SEC document
January 15, 2024 Filed Jan 16, 2024 17:12 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	173,504	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000034 · wk-form4_1705443166.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,976,865 F1 · shares: On February 23, 2021, the reporting person was granted, subject to vesting, 231,338 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 173,504 shares on January 15, 2024. F2 · ownership.nature: 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. Read SEC document
January 01, 2024 Filed Jan 3, 2024 16:08 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	51,639	$14.03	$724,495.17	Disclosure SEC source: 0001407623-24-000016 · wk-form4_1704316083.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,803,361 F1 · shares: 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 · ownership.direct: On December 6, 2023, the reporting person transferred a total of 81,167 shares of common stock from two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. F3 · ownership.nature: 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. Read SEC document
December 06, 2023 Filed Jan 3, 2024 16:08 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	81,167	$0.00	$0.00	Disclosure SEC source: 0001407623-24-000016 · wk-form4_1704316083.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 143,833 F2 · ownership.direct: On December 6, 2023, the reporting person transferred a total of 81,167 shares of common stock from two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. F4 · ownership.nature: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. Read SEC document
February 21, 2023 Filed Feb 22, 2023 17:17 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	140,056	$0.00	$0.00	Disclosure SEC source: 0001407623-23-000051 · wf-form4_167710422261284.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,773,833 F1 · shares: The reporting person was granted 140,056 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, 2024 and the first two anniversaries thereafter. F2 · ownership.nature: 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. Read SEC document
January 25, 2023 Filed Jan 26, 2023 16:51 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	46,444	$15.03	$698,053.32	Disclosure SEC source: 0001407623-23-000034 · wf-form4_167476986254188.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,858,777 F3 · shares: 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. F2 · ownership.nature: 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. Read SEC document
January 25, 2023 Filed Jan 26, 2023 16:51 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	133,974	$0.00	$0.00	Disclosure SEC source: 0001407623-23-000034 · wf-form4_167476986254188.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,905,221 F1 · shares: On February 18, 2020, the reporting person was granted, subject to vesting, 220,458 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, 2020 to December 31, 2022 (the "performance period"). Certain of such performance criteria were met during the performance period resulting in vesting of 133,974 shares on January 25, 2023. F2 · ownership.nature: 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. Read SEC document
January 01, 2023 Filed Jan 4, 2023 19:37 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	46,097	$15.03	$692,837.91	Disclosure SEC source: 0001407623-23-000024 · wf-form4_167287901425021.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,771,247 F1 · shares: 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 · ownership.nature: These shares of common stock or units of limited partner interest ("OP Units") in 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. Read SEC document
September 30, 2022 Filed Jan 26, 2023 16:51 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	225,000	$0.00	$0.00	Disclosure SEC source: 0001407623-23-000034 · wf-form4_167476986254188.xml · nonDerivative · entry 4 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 225,000 F5 · ownership.nature: These shares are held by two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. Read SEC document
September 30, 2022 Filed Jan 26, 2023 16:51 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GiftCommon Stock, par value $0.0001 per share	225,000	$0.00	$0.00	Disclosure SEC source: 0001407623-23-000034 · wf-form4_167476986254188.xml · nonDerivative · entry 3 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,633,777 F4 · kind: On September 30, 2022, the reporting person transferred a total of 225,000 shares of common stock to two grantor retained annuity trusts of which the reporting person is the sole annuitant and trustee. F2 · ownership.nature: 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. Read SEC document
February 15, 2022 Filed Feb 17, 2022 19:04 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	109,589	$0.00	$0.00	Disclosure SEC source: 0001407623-22-000059 · wf-form4_164514262385806.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,817,344 F1 · shares: The reporting person was granted 109,589 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. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2023 and the first two anniversaries thereafter. F2 · ownership.nature: 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 is a Trustee. Read SEC document
January 14, 2022 Filed Jan 19, 2022 16:18 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantOP Units · Derivative	113,727	$0.00	$0.00	Disclosure SEC source: 0001407623-22-000037 · wf-form4_164262707952681.xml · derivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 113,727 Underlying: Common Stock, par value $0.0001 per share · 113,727 shares Expires not disclosed F1 · derivative.exercise_price: These shares of common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), or units of limited partner interest ("OP Units") in 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 is a Trustee. F2 · derivative.exercise_price: On March 12, 2019, the reporting person was granted, subject to vesting, 211,020 long-term incentive plan units ("LTIP Units") of the Partnership 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 LTIP Units was based on the Company's achievement of certain performance criteria during the performance period from January 1, 2019 to December 31, 2021 (the "performance period"). Certain of such performance criteria were met during the performance period resulting in vesting of 113,727 LTIP Units on January 14, 2021. F3 · derivative.exercise_price: Vested LTIP Units, after achieving parity with OP Units (as described in the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement")), are eligible to be converted into OP Units on a one-for-one basis upon the satisfaction of conditions set forth in the Partnership Agreement. On January 18, 2021, 113,727 LTIP Units were automatically converted by the Company into 113,727 OP Units upon satisfying such conditions. Upon conversion of LTIP Units into OP Units, 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 the Partnership Agreement) 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. F3 · derivative.exercise_date: Vested LTIP Units, after achieving parity with OP Units (as described in the Partnership's Second Amended and Restated Agreement of Limited Partnership, as amended (the "Partnership Agreement")), are eligible to be converted into OP Units on a one-for-one basis upon the satisfaction of conditions set forth in the Partnership Agreement. On January 18, 2021, 113,727 LTIP Units were automatically converted by the Company into 113,727 OP Units upon satisfying such conditions. Upon conversion of LTIP Units into OP Units, 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 the Partnership Agreement) 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 · derivative.expiration_date: N/A F1 · ownership.nature: These shares of common stock, par value $0.0001 per share ("common stock"), of Retail Opportunity Investments Corp., a Maryland corporation (the "Company"), or units of limited partner interest ("OP Units") in 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 is a Trustee. Read SEC document
January 01, 2022 Filed Jan 4, 2022 16:17 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	37,368	$19.60	$732,412.80	Disclosure SEC source: 0001407623-22-000026 · wf-form4_164133098228764.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,707,755 F1 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. F2 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
February 23, 2021 Filed Feb 25, 2021 17:25 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	115,669	$0.00	$0.00	Disclosure SEC source: 0001407623-21-000035 · wf-form4_161429191477804.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,745,123 F1 · shares: The reporting person was granted 115,669 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2022 and the first two anniversaries thereafter. F2 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
January 01, 2021 Filed Jan 5, 2021 16:32 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	58,510	$13.39	$783,448.90	Disclosure SEC source: 0001407623-21-000019 · wf-form4_160988230492910.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,629,454 F3 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. F2 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
January 01, 2021 Filed Jan 5, 2021 16:32 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	33,559	$0.00	$0.00	Disclosure SEC source: 0001407623-21-000019 · wf-form4_160988230492910.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,687,964 F1 · shares: On March 14, 2018, the reporting person was granted 101,522 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. Vesting of the shares was based on the Issuer's achievement of certain performance criteria during the performance period from January 1, 2018 to December 31, 2020. Certain of the performance criteria were met during the performance period resulting in vesting of 33,559 shares on January 1, 2021. F2 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
February 18, 2020 Filed Feb 20, 2020 19:49 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	110,229	$0.00	$0.00	Disclosure SEC source: 0001407623-20-000035 · wf-form4_158224614454965.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,654,405 F1 · shares: The reporting person was granted 110,229 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2021 and the first two anniversaries thereafter. F2 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
January 01, 2020 Filed Jan 3, 2020 19:45 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	54,066	$17.66	$954,805.56	Disclosure SEC source: 0001407623-20-000022 · wf-form4_157809873272942.xml · nonDerivative · entry 3 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,544,176 F5 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. F3 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
January 01, 2020 Filed Jan 3, 2020 19:45 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	29,276	$0.00	$0.00	Disclosure SEC source: 0001407623-20-000022 · wf-form4_157809873272942.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,598,242 F4 · shares: On February 22, 2017, the reporting person was granted 80,950 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. Vesting of the shares was based on the Issuer's achievement of certain performance criteria during the performance period from January 1, 2017 to December 31, 2019. Certain of the performance criteria were met during the performance period resulting in vesting of 29,276 shares on January 1, 2020 F3 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document
October 07, 2019 Filed Oct 9, 2019 16:33 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Exercise / conversionCommon Stock, par value $0.0001 per share · Derivative	50,000	$10.25 Strike: $10.25	$512,500.00	Disclosure SEC source: 0001407623-19-000022 · wf-form4_157065317864694.xml · derivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.0001 per share · 50,000 shares Expires 2019-10-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, representing a right to purchase a total of 100,000 shares, became exercisable in three equal annual installments beginning on October 20, 2010, which was the first anniversary of the date on which the option was granted. Read SEC document
October 07, 2019 Filed Oct 9, 2019 16:33 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Exercise / conversionCommon Stock, par value $0.0001 per share	50,000	$10.25	$512,500.00	Disclosure SEC source: 0001407623-19-000022 · wf-form4_157065317864694.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,600,641 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The option, representing a right to purchase a total of 100,000 shares, became exercisable in three equal annual installments beginning on October 20, 2010, which was the first anniversary of the date on which the option was granted. Read SEC document
September 09, 2019 Filed Sep 11, 2019 18:07 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Exercise / conversionCommon Stock, par value $0.0001 per share · Derivative	50,000	$0.00 Strike: $10.25	$0.00	Disclosure SEC source: 0001407623-19-000020 · wf-form4_156823960453993.xml · derivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $0.0001 per share · 50,000 shares Expires 2019-10-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, representing a right to purchase a total of 100,000 shares, became exercisable in three equal annual installments beginning on October 20, 2010, which was the first anniversary of the date on which the option was granted. Read SEC document
September 09, 2019 Filed Sep 11, 2019 18:07 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Exercise / conversionCommon Stock, par value $0.0001 per share	50,000	$10.25	$512,500.00	Disclosure SEC source: 0001407623-19-000020 · wf-form4_156823960453993.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,550,641 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The option, representing a right to purchase a total of 100,000 shares, became exercisable in three equal annual installments beginning on October 20, 2010, which was the first anniversary of the date on which the option was granted. Read SEC document
March 12, 2019 Filed Mar 14, 2019 21:03 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	105,510	$0.00	$0.00	Disclosure SEC source: 0001171843-19-001740 · ownership.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,641 F1 · shares: The reporting person was granted 105,510 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. Amended and Restated 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2020 and the first two anniversaries thereafter. Read SEC document
January 01, 2019 Filed Jan 3, 2019 21:23 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	52,706	$15.88	$836,971.28	Disclosure SEC source: 0001171843-19-000120 · ownership.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,395,131 F2 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. Read SEC document
January 01, 2019 Filed Jan 3, 2019 21:23 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	52,800	$0.00	$0.00	Disclosure SEC source: 0001171843-19-000120 · ownership.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,447,837 F1 · shares: On February 23, 2016, the reporting person was granted 70,400 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. Vesting of the shares was based on the Issuer's achievement of certain performance criteria during the performance period from January 1, 2016 to December 31, 2018. Certain of the performance criteria were met during the performance period resulting in vesting of 52,800 shares on January 1, 2019. Read SEC document
March 14, 2018 Filed Mar 16, 2018 16:50 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	101,522	$0.00	$0.00	Disclosure SEC source: 0001171843-18-002056 · f4_tanz031618.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,395,037 F1 · shares: The reporting person was granted 101,522 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2019 and the first two anniversaries thereafter. Read SEC document
January 01, 2018 Filed Jan 3, 2018 16:34 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	11,345	$19.95	$226,332.75	Disclosure SEC source: 0001171843-18-000115 · formfour.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,293,515 F2 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. Read SEC document
January 01, 2018 Filed Jan 3, 2018 16:34 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	22,766	$0.00	$0.00	Disclosure SEC source: 0001171843-18-000115 · formfour.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,304,860 F1 · shares: On February 24, 2015, the reporting person was granted 68,300 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 22,767 shares on January 1, 2016, 22,767 shares on January 1, 2017 and 22,766 shares on January 1, 2018 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2015, 2016 and 2017. The performance criteria for 2017 were met, resulting in vesting of 22,766 shares. This report is being filed to reflect the vesting of these shares. Read SEC document
February 22, 2017 Filed Feb 24, 2017 16:50 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	80,950	$0.00	$0.00	Disclosure SEC source: 0001171843-17-001119 · form4.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,282,094 F1 · shares: The reporting person was granted 80,950 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest ratably over a 3-year period on January 1, 2018 and the first two anniversaries thereafter. Read SEC document
January 01, 2017 Filed Jan 4, 2017 19:11 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	Tax withholdingCommon Stock, par value $0.0001 per share	21,357	$21.13	$451,273.41	Disclosure SEC source: 0001171843-17-000093 · form4tanz.xml · nonDerivative · entry 3 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,201,144 F3 · shares: Consists of shares of Common Stock withheld by the Issuer in order to satisfy the tax withholding obligation of the reporting person in connection with shares of restricted Common Stock that vested. Read SEC document
January 01, 2017 Filed Jan 4, 2017 19:11 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	22,767	$0.00	$0.00	Disclosure SEC source: 0001171843-17-000093 · form4tanz.xml · nonDerivative · entry 2 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,222,501 F2 · shares: On February 24, 2015, the reporting person was granted 68,300 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 22,767 shares on January 1, 2016, 22,767 shares on January 1, 2017 and 22,766 shares on January 1, 2018 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2015, 2016 and 2017. The performance criteria for 2016 were met, resulting in vesting of 22,767 shares. This report is being filed to reflect the vesting of these shares. Read SEC document
January 01, 2017 Filed Jan 4, 2017 19:11 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GrantCommon Stock, par value $0.0001 per share	25,000	$0.00	$0.00	Disclosure SEC source: 0001171843-17-000093 · form4tanz.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,199,734 F1 · shares: On February 21, 2014, the reporting person was granted 75,000 shares of restricted Common Stock that were issued pursuant to the Retail Opportunity Investments Corp. 2009 Equity Incentive Plan. The shares vest as to 25,000 shares on January 1, 2015, 25,000 shares on January 1, 2016 and 25,000 shares on January 1, 2017 based on the Issuer's achievement of certain performance criteria for each of the 12 months ending December 31, 2014, 2015 and 2016. The performance criteria for 2016 were met, resulting in vesting of 25,000 shares. This report is being filed to reflect the vesting of these shares. Read SEC document
January 20, 2016 Filed Jan 3, 2020 19:45 UTC	RETAIL OPPORTUNITY INVESTMENTS CORP ROIC · Entity 83172	GiftCommon Stock, par value $0.0001 per share	31,675	$17.19	$544,493.25	Disclosure SEC source: 0001407623-20-000022 · wf-form4_157809873272942.xml · nonDerivative · entry 1 TANZ STUART A · CIK 0001203845 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,568,966 F1 · date: The transaction being reported on this line is being reported late due to an inadvertent administrative oversight. F2 · shares: On January 20, 2016, the reporting person transferred 31,675 shares of the Issuer's Common Stock to trusts of the reporting person's adult children. F3 · ownership.nature: These shares are held by the Stuart A. Tanz Separate Property Trust U/A dated 6/16/2006 of which Stuart A. Tanz is a Trustee. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.