Filing Details
- Accession Number:
- 0001588047-17-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-09 12:45:27
- Reporting Period:
- 2016-12-07
- Filing Date:
- 2017-01-09
- Accepted Time:
- 2017-01-09 12:45:27
- 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 | 2016-12-14 | 3,270 | $1.60 | 238,790 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-12-14 | 7,730 | $1.59 | 246,520 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D Convertible Preferred Stock | Acquisiton | 2016-12-07 | 1,100 | $23.60 | 12,969 | $2.12 |
| Common Stock | Series D Convertible Preferred Stock | Acquisiton | 2016-12-12 | 1,900 | $23.75 | 22,401 | $2.12 |
| Common Stock | Series D Convertible Preferred Stock | Acquisiton | 2016-12-12 | 1,000 | $23.69 | 11,790 | $2.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,100 | No | 4 | P | Indirect | ||
| 3,000 | No | 4 | P | Indirect | ||
| 4,000 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 45,455 | Indirect | Held in profit sharing plan |
| Common Stock | 6,000 | Indirect | Held in spouse's IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Convertible Preferred Stock | $5.00 | 50,000 | 10,000 | Direct | ||
| Common Stock | Series B Convertible Preferred Stock | $5.00 | 20,000 | 4,000 | Indirect | ||
| Common Stock | Common Stock Warrants | $5.50 | 12,000 | 12,000 | Direct | ||
| Common Stock | Common Stock Warrants | $5.50 | 4,800 | 4,800 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 50,000 | 10,000 | Direct | |
| 20,000 | 4,000 | Indirect | |
| 12,000 | 12,000 | Direct | |
| 4,800 | 4,800 | Indirect |
Footnotes
- Each share of Series D Convertible Preferred Stock ("Series D Stock") became convertible into shares of Wheeler Real Estate Investment Trust, Inc.'s (the "Company") common stock at $2.12 per share, upon completion of the Company's September 2016 and December 2016 public offerings of the Series D Stock. The Series D Stock has no expiration date.
- Each share of Series B Convertible Preferred Stock (the "Series B Stock") became convertible into shares of the Company's common stock at $5.00 per share, upon completion of the Company's April 2014 and September 2014 public offerings of Series B Stock and common stock warrants. The Series B Stock has no expiration date.
- Each common stock warrant became exercisable 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.
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