View:
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 3)
Retail Opportunity Investments Corp.
-------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.0001 Par Value
-------------------------------------------------------------------------------
(Title of Class of Securities)
76131N101
-------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2013
-------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 76131N101
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Brian Taylor
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
0
6. SHARED VOTING POWER
0
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
0
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.0%
12. TYPE OF REPORTING PERSON
IN
CUSIP No. 76131N101
---------------------
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Pine River Capital Management L.P.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
0
6. SHARED VOTING POWER
0
7. SOLE DISPOSITIVE POWER
0
8. SHARED DISPOSITIVE POWER
0
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.0%
12. TYPE OF REPORTING PERSON
IA
-------------------------------------------------------------------------------
CUSIP No. 76131N101
---------------------
Item 1(a). Name of Issuer:
Retail Opportunity Investments Corp.
--------------------------------------------------------------------
Item 1(b). Address of Issuer's Principal Executive Offices:
8905 Towne Centre Drive, Suite 108
San Diego, CA 92122
--------------------------------------------------------------------
Item 2(a). Name of Persons Filing:
Brian Taylor
Pine River Capital Management L.P.
--------------------------------------------------------------------
Item 2(b). Address of Principal Business Office, or if None, Residence:
Brian Taylor
Pine River Capital Management L.P.
601 Carlson Parkway
Suite 330
Minnetonka, MN 55305
Pine River Capital Management L.P.
601 Carlson Parkway
Suite 330
Minnetonka, MN 55305
--------------------------------------------------------------------
Item 2(c). Citizenship:
Brian Taylor - United States
Pine River Capital Management L.P. - Delaware, United States
--------------------------------------------------------------------
Item 2(d). Title of Class of Securities:
Common Stock, $.0001 Par Value
--------------------------------------------------------------------
Item 2(e). CUSIP Number:
76131N101
--------------------------------------------------------------------
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b)
or (c), Check Whether the Person Filing is a:
(a) [_] Broker or dealer registered under Section 15 of the Exchange Act;
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act;
(c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange
Act;
(d) [_] Investment company registered under Section 8 of the Investment
Company Act;
(e) [x] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [_] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act;
(i) [_] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act;
(j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
Item 4. Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
----------------------------------------------------------------------
(b) Percent of class:
Brian Taylor - 0.0%
Pine River Capital Management L.P. - 0.0%
----------------------------------------------------------------------
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(ii) Shared power to vote or to direct the vote:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(iii) Sole power to dispose or to direct the disposition of:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
(iv) Shared power to dispose or to direct the disposition of:
Brian Taylor - 0
Pine River Capital Management L.P. - 0
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the Reporting Person has ceased to be the beneficial owner of
more than five percent of the class of securities check the following
[x].
-----------------------------------------------------------------------
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
N/A
-----------------------------------------------------------------------
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control
Person.
N/A
-----------------------------------------------------------------------
Item 8. Identification and Classification of Members of the Group.
N/A
----------------------------------------------------------------------
Item 9. Notice of Dissolution of Group.
N/A
-----------------------------------------------------------------------
Item 10. Certifications.
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the ordinary
course of business and 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, other than
activities solely in connection with a nomination under Section 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
/s/ Brian Taylor*
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.*
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Manager and President
Date: January 28, 2014
*The Reporting Persons disclaim beneficial ownership in the
common stock reported herein except to the extent of their pecuniary
interest therein.
EXHIBIT A
AGREEMENT
The undersigned agree that this Schedule 13G dated January 28, 2014
relating to the Common Stock, $.0001 Par Value of Retail Opportunity
Investments Corp. shall be filed on behalf of the undersigned.
/s/ Brian Taylor
---------------------
Brian Taylor
PINE RIVER CAPITAL MANAGEMENT L.P.
By: Pine River Capital Management LLC, its general partner
/s/ Brian Taylor
---------------------
By: Brian Taylor
Title: Manager and President