UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
þ Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. |
62941R102 |
1 | NAMES OF REPORTING PERSONS Fir Tree SPAC Holdings 1, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 2,400,000 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
2,400,000 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
2,400,000 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
5.3% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
Page 2 of 11
CUSIP No. |
62941R102 |
1 | NAMES OF REPORTING PERSONS Fir Tree Capital Opportunity Master Fund, L.P. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Cayman Islands | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 671,553 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
671,553 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
671,553 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
1.5% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 3 of 11
CUSIP No. |
62941R102 |
1 | NAMES OF REPORTING PERSONS Fir Tree Value Master Fund, L.P. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Cayman Islands | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 4,428,447 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
4,428,447 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
4,428,447 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 4 of 11
CUSIP No. |
62941R102 |
1 | NAMES OF REPORTING PERSONS Fir Tree, Inc. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
New York | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 7,500,000 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
7,500,000 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,500,000 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
16.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
CO |
Page 5 of 11
Item 1(a) | Name of Issuer. Retail Opportunity Investments Corp. (formerly NRDC Acquisition Corp.) |
Item 1(b) | Address of Issuers Principal Executive Offices. 3 Manhattanville Road Purchase, New York 10577 |
Item 2(a) | Name of Person Filing. |
Item 2(b) | Address of Principal Business Office. |
Item 2(c) | Place of Organization. Fir Tree SPAC Holdings 1, LLC 505 Fifth Avenue 23rd Floor New York, New York 10017 A Delaware limited liability company Fir Tree Capital Opportunity Master Fund, L.P. c/o Admiral Administration Ltd. Admiral Financial Center, 5th Floor 90 Fort Street, Box 32021 SMB Grand Cayman, Cayman Islands A Cayman Islands exempted limited partnership |
Page 6 of 11
Fir Tree Value Master Fund, L.P. c/o Admiral Administration Ltd. Admiral Financial Center, 5th Floor 90 Fort Street, Box 32021 SMB Grand Cayman, Cayman Islands A Cayman Islands exempted limited partnership Fir Tree, Inc. 505 Fifth Avenue 23rd Floor New York, New York 10017 A New York corporation |
Item 2(d) | Title of Class of Securities. Common Stock, $0.0001 par value per share (the Common Stock) |
Item 2(e) | CUSIP Number. 62941R102 |
Item 3 | Reporting Person. The person filing is not listed in Items 3(a) through 3(j). |
Item 4 | Ownership. |
(a) | SPAC Holdings 1 is the beneficial owner of 2,400,000 shares of
Common Stock. Capital Fund is the beneficial owner of 671,553 shares of Common
Stock (consisting of 118,453 shares of Common Stock and warrants exercisable to
purchase 553,100 shares of Common Stock). Value Fund is the beneficial owner
of 4,428,447 shares of Common Stock (consisting of 631,547 shares of Common
Stock and warrants exercisable to purchase 3,796,900 shares of Common Stock). |
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Fir Tree may be deemed to beneficially own the shares of Common Stock held
by SPAC Holdings 1, Capital Fund, and Value Fund as a result of being the
investment manager of SPAC Holdings 1, Capital Fund, and Value Fund. |
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(b) | SPAC Holdings 1 is the beneficial owner of 5.3% of the
outstanding shares of Common Stock. Capital Fund is the beneficial owner of
1.5% of the outstanding shares of Common Stock. Value Fund is the beneficial
owner of 9.7% of the outstanding shares of Common Stock. Collectively, the |
Page 7 of 11
Reporting Persons beneficially own 7,500,000 shares of Common Stock, which
represent 16.4% of the shares of Common Stock outstanding. These percentages
are determined by dividing the number of shares of Common Stock and warrants
exercisable to purchase Common Stock beneficially held by the Reporting
Persons, by the sum of (i) 41,339,675, the number of shares of Common Stock
issued and outstanding and (ii) 4,350,000, the number of warrants
exercisable to purchase Common Stock beneficially held by Reporting Persons. |
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(c) | SPAC Holdings 1 has the shared power to direct the vote and
disposition of 2,400,000 shares of Common Stock. Capital Fund has the shared
power to direct the vote and disposition of 671,553 shares of Common Stock.
Value Fund has the shared power to direct the vote and disposition of 4,428,447
shares of Common Stock. Fir Tree has been granted investment discretion over
the Common Stock held by SPAC Holdings 1, Capital Fund, and Value Fund, and
thus, has the shared power to direct the vote and disposition of 7,500,000
shares of Common Stock. |
Item 5 | Ownership of Five Percent or Less of a Class. |
Inapplicable. |
Item 6 | Ownership of More Than Five Percent on Behalf of Another Person. Fir Tree SPAC Master Fund L.P., a Cayman Islands exempted limited partnership, as the sole member of SPAC Holdings 1, has the right to receive dividends from and the proceeds from the sale of the Common Stock. |
Item 7 | Identification and Classification of the Subsidiary which Acquired the Security Being
Reported On by the Parent Holding Company. Inapplicable. |
Item 8 | Identification and Classification of Members of the Group. Inapplicable. |
Item 9 | Notice of Dissolution of Group. Inapplicable. |
Item 10 | Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
Page 8 of 11
FIR TREE VALUE MASTER FUND, L.P. |
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By: | FIR TREE, INC., its Manager |
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By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
FIR TREE CAPITAL OPPORTUNITY MASTER FUND, L.P. |
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By: | FIR TREE, INC., its Manager |
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By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
FIR TREE SPAC HOLDINGS 1, LLC |
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By: | FIR TREE, INC., its Manager |
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By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
FIR TREE, INC. |
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By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
Page 9 of 11
FIR TREE VALUE MASTER FUND, L.P. |
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By: | FIR TREE, INC., its Manager | |||
By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
FIR TREE CAPITAL OPPORTUNITY MASTER FUND, L.P. |
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By: | FIR TREE, INC., its Manager | |||
By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President |
Page 10 of 11
FIR TREE SPAC HOLDINGS 1, LLC |
||||
By: | FIR TREE, INC., its Manager | |||
By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
FIR TREE, INC. |
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By: | /s/ Jeffrey Tannenbaum | |||
Name: | Jeffrey Tannenbaum | |||
Title: | President | |||
Page 11 of 11