0001588047-19-000002.txt : 20190301 0001588047-19-000002.hdr.sgml : 20190301 20190301142238 ACCESSION NUMBER: 0001588047-19-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121113 FILED AS OF DATE: 20190301 DATE AS OF CHANGE: 20190301 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: 19648393 MAIL ADDRESS: STREET 1: RIVERSEDGE NORTH, 2529 VIRGINIA BEACH STREET 2: BLVD., SUITE 200 CITY: VIRGINIA BEACH STATE: VA ZIP: 23452 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2012-11-13 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 2012-11-13 4 P 0 108000 5.25 A 13500 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock 2013-08-21 4 P 0 24500 4.3 A 16563 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock 2015-02-09 4 P 0 5000 3.6 A 17188 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock 2012-11-13 4 P 0 5800 5.25 A 725 I Held by a LLC in which Mr. Zwerdling has an interest Common Stock 2013-08-21 4 P 0 200 4.3 A 750 I Held by a LLC in which Mr. Zwerdling has an interest Common Stock 96593 D Common Stock 1111 I Held in profit sharing plan Common Stock 750 I Owned by spouse Series B Convertible Preferred Stock 40 2014-04-24 4 P 0 6500 24.99 A Common Stock 4062.5 6500 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Series B Convertible Preferred Stock 40 2014-09-12 4 P 0 4500 24.99 A Common Stock 2812.5 11000 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock Warrants 44 2014-04-24 4 P 0 7800 0.008 A Common Stock 975 7800 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock Warrants 44 2014-09-12 4 P 0 3000 0.008 A Common Stock 375 10800 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Common Stock Warrants 44 2014-09-24 4 P 0 2400 0.008 A Common Stock 300 13200 I Held by a Trust in which Mr. Zwerdling serves as Co-Trustee Series D Cumulative Covertible Preferred Stock 16.96 Common Stock 1474 1000 D Series D Cumulative Covertible Preferred Stock 16.96 Common Stock 5896 4000 I Owned by spouse Series B Convertible Preferred Stock 40 Common Stock 2500 4000 I Held in profit sharing plan Series B Convertible Preferred Stock 40 Common Stock 6250 10000 D Common Stock Warrants 44 Common Stock 1500 12000 D Common Stock Warrants 44 Common Stock 600 4800 I Held in profit sharing plan These 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. Adjusted for the Company's Reverse Stock Split. Each 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. The common stock warrants are excercisable at $44.00 per share. The common stock warrants expire on April 29, 2019. Each 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. /s/ Jeffrey M. Zwerdling 2019-03-01