SEC Form 4 · accession 0001557239-17-000004

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

May 8, 2017

Accepted (ET)

May 9, 2017 · 8:20 am EDT

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^F1	May 8, 2017	P	4,300	$11.86	A	106,977	D
Common Stock^F1	holding	—	—		—	12,068	I	Held in profit sharing plan
Common Stock^F1	holding	—	—		—	3,960	I	Owned by spouse
Common Stock^F1	holding	—	—		—	321	I	Controlled through interests in other entities
Common Stock^F1	holding	—	—		—	200	I	Held by dependent child
Common Stock^F1	holding	—	—		—	942	I	Held by trusts in the names of dependent children

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Units^F1,F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	198,227	198,227	D
Common Units^F1,F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	41,315	41,315	I
Common Units^F1,F2,F5,F4	—	holding	—	—	—	—	—	Common Stock	8,159	8,159	I
Common Units^F1,F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	390	390	I
Common Units^F1,F2,F3,F4	—	holding	—	—	—	—	—	Common Stock	3,904	3,904	I

F1Effective March 31, 2017, Wheeler Real Estate Investment Trust, Inc. (the "Company"), effected a one-for-eight reverse stock split of its common stock and its operating partnership Wheeler REIT, L.P. (the "Partnership") effected a one-for-eight reverse split of its common units (collectively the "Reverse Securities Split"). The amount of securities reflected on this Form 4 have been adjusted to reflect the Reverse Securities Split.
F2Pursuant to the Partnership Agreement of the Partnership, holders of the Partnership, may, after a one year holding period, elect to exchange their common units for common stock of 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.