SEC Form 4 · accession 0001588047-19-000002

Wheeler Real Estate Investment Trust, Inc. · WHLR

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

Reporting owner

Director

Period of report

Nov 13, 2012

Accepted (ET)

Mar 1, 2019 · 2:22 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^F1,F2	Nov 13, 2012	P	108,000	$5.25	A	13,500	I	Held by a Trust in which Mr. Zwerdling serves as Co-Trustee
Common Stock^F1,F2	Aug 21, 2013	P	24,500	$4.30	A	16,563	I	Held by a Trust in which Mr. Zwerdling serves as Co-Trustee
Common Stock^F1,F2	Feb 9, 2015	P	5,000	$3.60	A	17,188	I	Held by a Trust in which Mr. Zwerdling serves as Co-Trustee
Common Stock^F1,F2	Nov 13, 2012	P	5,800	$5.25	A	725	I	Held by a LLC in which Mr. Zwerdling has an interest
Common Stock^F1,F2	Aug 21, 2013	P	200	$4.30	A	750	I	Held by a LLC in which Mr. Zwerdling has an interest
Common Stock	holding	—	—		—	96,593	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 B Convertible Preferred Stock^F3	$40.00	Apr 24, 2014	P	6,500	A	—	—	Common Stock	4,063	6,500	I
Series B Convertible Preferred Stock^F3	$40.00	Sep 12, 2014	P	4,500	A	—	—	Common Stock	2,813	11,000	I
Common Stock Warrants^F4	$44.00	Apr 24, 2014	P	7,800	A	—	—	Common Stock	975	7,800	I
Common Stock Warrants^F4	$44.00	Sep 12, 2014	P	3,000	A	—	—	Common Stock	375	10,800	I
Common Stock Warrants^F4	$44.00	Sep 24, 2014	P	2,400	A	—	—	Common Stock	300	13,200	I
Series D Cumulative Covertible Preferred Stock^F5	$16.96	holding	—	—	—	—	—	Common Stock	1,474	1,000	D
Series D Cumulative Covertible Preferred Stock^F5	$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

F1These shares of common stock were acquired prior to Wheeler Real Estate Investment Trust, Inc.'s (the "Company") one-for-eight reverse stock split (the "Reverse Stock Split") that was effected on March 31, 2017.
F2Adjusted for the Company's Reverse Stock Split.
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 excercisable at $44.00 per share. The common stock warrants expire on April 29, 2019.
F5Each 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.