SEC Form 5 · accession 0001557239-16-000007

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

Dec 31, 2015

Accepted (ET)

Jan 19, 2016 · 3:59 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001527541

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Mar 5, 2015	J	308	$3.47	A	308	I	Held by trusts in the name of dependent children
Common Stock	Apr 6, 2015	J	462	$2.30	A	770	I	Held by trusts in the name of dependent children
Common Stock	May 5, 2015	J	230	$2.31	A	999	I	Held by trusts in the name of dependent children
Common Stock	Jun 4, 2015	J	234	$2.30	A	1,233	I	Held by trusts in the name of dependent children
Common Stock	Jul 6, 2015	J	269	$2.01	A	1,502	I	Held by trusts in the name of dependent children
Common Stock	Aug 5, 2015	J	283	$1.92	A	1,785	I	Held by trusts in the name of dependent children
Common Stock	Sep 3, 2015	J	288	$1.90	A	2,072	I	Held by trusts in the name of dependent children
Common Stock	Oct 5, 2015	J	294	$1.87	A	2,367	I	Held by trusts in the name of dependent children
Common Stock	Nov 5, 2015	J	283	$1.97	A	2,649	I	Held by trusts in the name of dependent children
Common Stock	Dec 3, 2015	J	301	$1.87	A	2,950	I	Held by trusts in the name of dependent children
Commmon Stock	holding	—	—		—	713,824	D
Commmon 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^F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	1,584,858	1,584,858	D
Common Units^F2,F5,F4	—	holding	—	—	—	—	—	Common Stock	961	961	D
Common Units^F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	308,422	308,422	I
Common Units^F2,F5,F4	—	holding	—	—	—	—	—	Common Stock	22,120	22,120	I
Common Units^F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	3,123	3,123	I
Common Units^F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	31,234	31,234	I

F1The trusts in the name of the dependent children of the reporting person acquired these shares of common stock under a dividend reinvestment plan, pursuant to a dividend reinvestment transaction exempt from Section 16 under Rule 16a-11
F2Pursuant 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 an 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.
F3These common units have been held for one year and therefore may be redeemed in accordance with the Partnership Agreement.
F4These derivative securities do not have an expiration date.
F5These common units have been held for less than one year and therefore may not be currently exchanged.