SEC Form 4 · accession 0001557239-15-000005

Wheeler Real Estate Investment Trust, Inc. · WHLR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO & Chairman · Director

Period of report

Nov 6, 2015

Accepted (ET)

Nov 9, 2015 · 6:10 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001527541

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—	—	709,721	D
Common Stock	holding	—	—	—	31,680	I	Owned by spouse
Common Stock	holding	—	—	—	12,047	I	Held in profit sharing plan
Common Stock	holding	—	—	—	2,572	I	Controlled through interests in other entities
Common Stock	holding	—	—	—	1,600	I	Held by dependent child

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Units^F1,F2,F3	—	Nov 6, 2015	A	16,087	A	—	—	Common Stock	16,087	308,422	I
Common Units^F1,F2,F3	—	holding	—	—	—	—	—	Common Stock	1,584,858	1,584,858	D
Common Units^F1,F4,F3	—	holding	—	—	—	—	—	Common Stock	961	961	D
Common Units^F1,F4,F3	—	holding	—	—	—	—	—	Common Stock	22,120	22,120	I
Common Units^F1,F2,F3	—	holding	—	—	—	—	—	Common Stock	3,123	3,123	I
Common Units^F1,F2,F3	—	holding	—	—	—	—	—	Common Stock	31,234	31,234	I

F1Pursuant to the Partnership Agreement of Wheeler REIT, L.P. (the "Partnership"), holders of the Partnership may, after a one year holding period, elect to exchange their common units for common stock of Wheeler Real Estate Investment Trust, Inc. (the "Company") on a one-for-one basis. Upon a redemption request, the Company has the option to purchase the common units directly, either in cash or common stock of the Company.
F2The common units have been held for one year and therefore may be redeemed in accordance with the Partnership Agreement.
F3These derivative securities do not have an expiration date.
F4These common units have been held for less than one year and therefore may not be currently exchanged.