SEC Form 4 · accession 0001588047-18-000005

Wheeler Real Estate Investment Trust, Inc. · WHLR

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

Reporting owner

Director

Period of report

Oct 17, 2018

Accepted (ET)

Oct 18, 2018 · 11:29 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	Oct 17, 2018	A	5,724	$4.28	A	69,065	D
Common Stock	holding	—	—		—	1,111	I	Held in profit sharing plan
Common Stock	holding	—	—		—	750	I	Owned by spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series D Cumulative Covertible Preferred Stock^F2	$16.96	holding	—	—	—	—	—	Common Stock	1,474	1,000	D
Series D Cumulative Covertible Preferred Stock^F2	$16.96	holding	—	—	—	—	—	Common Stock	5,896	4,000	I
Series B Convertible Preferred Stock^F3	$40.00	holding	—	—	—	—	—	Common Stock	2,500	4,000	I
Series B Convertible Preferred Stock^F3	$40.00	holding	—	—	—	—	—	Common Stock	6,250	10,000	D
Common Stock Warrants^F4	$44.00	holding	—	—	—	—	—	Common Stock	1,500	12,000	D
Common Stock Warrants^F4	$44.00	holding	—	—	—	—	—	Common Stock	600	4,800	I

F1Granted for third quarter board fees based upon the closing price of Wheeler Real Estate Investment Trust, Inc.'s common stock on September 28, 2018.
F2Each share of Series D Cumulative Convertible Preferred Stock (the "Series D Stock") is convertible into shares of the Company's common stock at $16.96 per share. The Series D Stock has no expiration date.
F3Each share of Series B Convertible Preferred Stock (the "Series B Stock") is convertible into shares of the Company's common stock at $40.00 per share. The Series B Stock has no expiration date.
F4The common stock warrants are exercisable at $44.00 per share. The common stock warrants expire on April 29, 2019.