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): October 3, 2014
RETAIL OPPORTUNITY INVESTMENTS CORP.
(Exact Name of Registrant as Specified in Its Charter)
| Maryland | 001-33749 | 26-0500600 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer 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 File Number) |
(LR.S. Employer Identification No.) | ||
| 8905 Towne Centre Drive, Suite | 92122 | |||
| 108 San Diego, California | (Zip Code) | |||
(858) 677-0900
(Registrants’ Telephone Number,
Including Area Code)
Not applicable
(Former Name or Former Address, 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:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 3.01. | Notice Of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. |
On October 3, 2014, Retail Opportunity Investments Corp. (the “Company”) authorized the voluntary delisting of its warrants (the “Warrants”) to purchase common stock of the Company, par value $0.0001 per share, from the NASDAQ Global Select Market, effective at the close of trading on October 17, 2014. The Warrants will expire by their terms on October 23, 2014. The delisting of the Warrants, effective at the close of trading on October 17, 2014, will permit pending trades through the NASDAQ Global Select Market to settle prior to the October 23, 2014 expiration date in accordance with a “T+3” trade settlement period.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| RETAIL OPPORTUNITY INVESTMENTS CORP. | ||||||
| Dated: October 8, 2014 | ||||||
| By: | /s/ Michael B. Haines | |||||
| Name: Michael B. Haines | ||||||
| Title: Chief Financial Officer | ||||||
| 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 | ||||||