SEC Form 4 · accession 0001588047-15-000002

Wheeler Real Estate Investment Trust, Inc. · WHLR

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

Reporting owner

Director

Period of report

Aug 14, 2015

Accepted (ET)

Aug 18, 2015 · 6:07 pm 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	Aug 14, 2015	A	9,302	$2.15	A	156,471	D
Common Stock	holding	—	—		—	100,000	I	Held in profit sharing plan
Common Stock	holding	—	—		—	6,000	I	Held in spouse's IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Convertible Preferred Stock^F1	$5.00	holding	—	—	—	—	—	Common Stock	50,000	10,000	D
Series B Convertible Preferred Stock^F1	$5.00	holding	—	—	—	—	—	Common Stock	20,000	4,000	I
Common Stock Warrants^F2	$5.50	holding	—	—	—	—	—	Common Stock	12,000	12,000	D
Common Stock Warrants^F2	$5.50	holding	—	—	—	—	—	Common Stock	4,800	4,800	I

F1Each share of Series B Convertible Preferred Stock ("Series B Preferred Stock") became convertible into shares of Wheeler Real Estate Investment Trust, Inc, (the "Company") common stock at $5.00 per share, upon completion of the Company's April 2014 and September 2014 public offerings of Series B Preferred Stock and common stock warrants. The Series B Preferred Stock has no expiration date.
F2Each common stock warrant became exercisable upon completion of the Company's April 2014 and September 2014 public offerings of Series B Preferred Stock and common stock warrants. The common stock warrants expire on April 29, 2019.