0001588047-17-000007.txt : 20170519 0001588047-17-000007.hdr.sgml : 20170519 20170519113003 ACCESSION NUMBER: 0001588047-17-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170518 FILED AS OF DATE: 20170519 DATE AS OF CHANGE: 20170519 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Wheeler Real Estate Investment Trust, Inc. CENTRAL INDEX KEY: 0001527541 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 452681082 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: RIVERSEDGE NORTH STREET 2: 2529 VIRGINIA BEACH BLVD., SUITE 200 CITY: VIRGINIA BEACH STATE: VA ZIP: 23452 BUSINESS PHONE: 757-627-9088 MAIL ADDRESS: STREET 1: RIVERSEDGE NORTH STREET 2: 2529 VIRGINIA BEACH BLVD., SUITE 200 CITY: VIRGINIA BEACH STATE: VA ZIP: 23452 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zwerdling Jeffrey M. CENTRAL INDEX KEY: 0001588047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35713 FILM NUMBER: 17856872 MAIL ADDRESS: STREET 1: RIVERSEDGE NORTH, 2529 VIRGINIA BEACH STREET 2: BLVD., SUITE 200 CITY: VIRGINIA BEACH STATE: VA ZIP: 23452 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-05-18 0 0001527541 Wheeler Real Estate Investment Trust, Inc. whlr 0001588047 Zwerdling Jeffrey M. RIVERSEDGE NORTH, 2529 VIRGINIA BEACH BLVD., SUITE 200 VIRGINIA BEACH VA 23452 1 0 0 0 Common Stock 2017-05-18 4 P 0 1000 9.92 A 39186 D Common Stock 2017-05-18 4 P 0 4000 9.96 A 43186 D Common Stock 1111 I Held in profit sharing plan Common Stock 750 I Owned by spouse Series D Cumulative Convertible Preferred Stock 16.76 Common Stock 5896 4000 I Owned by spouse Series B Convertible Preferred Stock 40 Common Stock 2500 4000 I Held in profit sharing plan Common Stock Warrants 44 Common Stock 1500 12000 D Common Stock Warrants 44 Common Stock 600 4800 I Held in profit sharing plan Series B Convertible Preferred Stock 40 Common Stock 6250 10000 D 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. 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. 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. 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. /s/ Jeffrey M. Zwerdling 2017-05-19