# EDGAR Filing Document

**Accession Number:** 0001577230
**File Stem:** 0001407623-23-000056
**Filing Date:** 2023-3
**Character Count:** 7966
**Document Hash:** e43c2b3ee3cb1f6a94af4c05efe93e4a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001407623-23-000056.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001407623-23-000056

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230303

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RETAIL OPPORTUNITY INVESTMENTS CORP
- **CENTRAL INDEX KEY:** 0001407623
- **STANDARD INDUSTRIAL CLASSIFICATION:** REAL ESTATE INVESTMENT TRUSTS [6798]
- **IRS NUMBER:** 260500600
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33749
- **FILM NUMBER:** 23720090

**BUSINESS ADDRESS:**
- **STREET 1:** 11250 EL CAMINO REAL
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130
- **BUSINESS PHONE:** (858) 677-0900

**MAIL ADDRESS:**
- **STREET 1:** 11250 EL CAMINO REAL
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NRDC Acquisition Corp.
- **DATE OF NAME CHANGE:** 20070724
**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Retail Opportunity Investments Partnership, LP
- **CENTRAL INDEX KEY:** 0001577230
- **STANDARD INDUSTRIAL CLASSIFICATION:** REAL ESTATE INVESTMENT TRUSTS [6798]
- **IRS NUMBER:** 271532741
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 333-189057-01
- **FILM NUMBER:** 23720091

**BUSINESS ADDRESS:**
- **STREET 1:** 11250 EL CAMINO REAL
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130
- **BUSINESS PHONE:** (858) 677-0900

**MAIL ADDRESS:**
- **STREET 1:** 11250 EL CAMINO REAL
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130

?xml version="1.0" ? roic-20230303

**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION**

Washington, D.C. 20549

**FORM 8-K** 

**CURRENT REPORT** 

**Pursuant to Section 13 or 15(d)** 

**of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): March 3, 2023** 

**RETAIL OPPORTUNITY INVESTMENTS CORP.**

(Exact Name of Registrant as Specified in Its Charter)

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| | | |
|:---|:---|:---|
| **Maryland** | **001-33749** | **26-0500600** |
| (State or other jurisdiction of incorporation) | (Commission <br>File Number) | (I.R.S. Employer <br>Identification No.) |

---

**RETAIL OPPORTUNITY INVESTMENTS PARTNERSHIP, LP**

(Exact Name of Registrant as Specified in Its Charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **333-189057-01** | **94-2969738** |
| (State or other jurisdiction of incorporation) | (Commission <br>File Number) | (I.R.S. Employer <br>Identification No.) |

---

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| | | |
|:---|:---|:---|
| **11250 El Camino Real, Suite 200** | **11250 El Camino Real, Suite 200** | |
| **San Diego,** | **California** | **92130** |
| (Address of Principal Executive Offices) | (Address of Principal Executive Offices) | (Zip Code) |

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**(858) 677-0900** 

(Registrant's telephone number, including area code)

N/A

(Former name, former address and former fiscal year, if changed since last report)

_________________

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d- 2(b))

☐&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e- 4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter)

☐&nbsp;&nbsp;&nbsp;&nbsp;Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Exchange Act:

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| | | | |
|:---|:---|:---|:---|
| <u>Name of Registrant</u> | <u>Title of each class</u> | <u>Trading Symbol</u> | <u>Name of each exchange on which registered</u> |
| Retail Opportunity Investments Corp. | Common Stock, par value $0.0001 per share | ROIC | NASDAQ |
| Retail Opportunity Investments Partnership, LP |  |  |  |

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**Item 5.02.&nbsp;&nbsp;&nbsp;&nbsp;Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain &nbsp;&nbsp;&nbsp;&nbsp;Officers; Compensatory Arrangements of Certain Officers.**

On March 3, 2023, Laurie A. Sneve, Chief Accounting Officer of Retail Opportunity Investments Corp. (the "Company") notified the Company that she will be retiring and intends to resign, effective May 10, 2023.

In conjunction with Ms. Sneve's retirement, effective May 11, 2023, the Company has appointed Lauren N. Silveira as Vice President and Chief Accounting Officer of the Company.

Lauren N. Silveira, 41, has served as the Company's Corporate Controller and Director of Financial Reporting since joining the Company in April 2013. In this role, Ms. Silveira has been responsible for overseeing both internal and external SEC financial reporting as well as all corporate accounting functions. In addition, she has worked with multiple departments to perform research and provide guidance on the accounting and reporting implications of potential investment opportunities as well as debt and equity transactions. Prior to joining the Company, Ms. Silveira served as SEC Reporting Manager at Nuvasive, Inc., a publicly traded medical device company. Prior to that, she worked at KPMG from 2004 to 2011 where she served clients throughout San Diego. Ms. Silveira received a Bachelor of Science in Accounting from the University of San Diego. She is a California-licensed Certified Public Accountant and an active member of the American Institute of Certified Public Accountants.

**Item 9.01&nbsp;&nbsp;&nbsp;&nbsp;Financial Statements and Exhibits.**

(d)&nbsp;&nbsp;&nbsp;&nbsp;Exhibits.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;

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| | |
|:---|:---|
| **<u>Exhibit No.</u>** | **<u>Description</u>** |
| 101 | Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document |
| 104 | The cover page from this Current Report on Form 8-K, formatted in Inline XBRL (and contained in Exhibit 101) |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
| Dated: March 9, 2023 | RETAIL OPPORTUNITY INVESTMENTS CORP. | RETAIL OPPORTUNITY INVESTMENTS CORP. |
|  | By: | /s/ Michael B. Haines |
|  |  | Name: Michael B. Haines |
|  |  | Title: Chief Financial Officer |
|  | RETAIL OPPORTUNITY INVESTMENTS PARTNERSHIP, LP | RETAIL OPPORTUNITY INVESTMENTS PARTNERSHIP, LP |
|  | By: | RETAIL OPPORTUNITY INVESTMENTS GP, LLC, its general partner |
|  | By: | /s/ Michael B. Haines |
|  |  | Name: Michael B. Haines |
|  |  | Title: Chief Financial Officer |

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