Filing Details

Accession Number:
0001588047-17-000007
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-19 11:30:03
Reporting Period:
2017-05-18
Filing Date:
2017-05-19
Accepted Time:
2017-05-19 11:30:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1527541 Wheeler Real Estate Investment Trust Inc. WHLR Real Estate Investment Trusts (6798) 452681082
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1588047 M. Jeffrey Zwerdling Riversedge North, 2529 Virginia Beach
Blvd., Suite 200
Virginia Beach VA 23452
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-05-18 1,000 $9.92 39,186 No 4 P Direct
Common Stock Acquisiton 2017-05-18 4,000 $9.96 43,186 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,111 Indirect Held in profit sharing plan
Common Stock 750 Indirect Owned by spouse
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Series D Cumulative Convertible Preferred Stock $16.76 5,896 4,000 Indirect
Common Stock Series B Convertible Preferred Stock $40.00 2,500 4,000 Indirect
Common Stock Common Stock Warrants $44.00 1,500 12,000 Direct
Common Stock Common Stock Warrants $44.00 600 4,800 Indirect
Common Stock Series B Convertible Preferred Stock $40.00 6,250 10,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
5,896 4,000 Indirect
2,500 4,000 Indirect
1,500 12,000 Direct
600 4,800 Indirect
6,250 10,000 Direct
Footnotes
  1. Effective March 31, 2017, Wheeler Real Estate Investment Trust, Inc. (the "Company"), effected a one-for-eight reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.
  2. Each share of Series D Cumulative Convertible Preferred Stock (the "Series D Stock") became convertible into shares of the Company's common stock at $16.76 (as adjusted for the Reverse Stock Split) upon completion of the Company's September 2016 and December 2016 public offerings of Series D Stock. The Series D Stock has no expiration date.
  3. Each share of Series B Convertible Preferred Stock (the "Series B Stock") became convertible into shares of the company's common stock at $40.00 per share (as adjusted for the Reverse Stock Split) upon completion of the Company's April 2014 and September 2014 public offerings of Series B Stock and commons stock warrants. The Series B Stock has no expiration date.
  4. Each common stock warrant became exercisable at $44.00 per share (as adjusted for the Reverse Stock Split) upon completion of the Company's April 2014 and September 2014 public offerings of Series B Stock and common stock warrants. The common stock warrants expire on April 29, 2019.