Jones Andrew R 4

4 · Wheeler Real Estate Investment Trust, Inc. · Filed Mar 30, 2021

Form 4

Period: 2021-03-26

Director

Transactions

Sale
Series B Convertible Preferred Stock
2021-03-29$11.75/sh−1,000$11,750→ 0 total(indirect: By IRA)
Exercise: $40.00→ Common Stock (625 underlying)
Sale
Common Stock
2021-03-26$3.50/sh−1,400$4,900→ 11,064 total(indirect: By IRA)
Sale
Common Stock
2021-03-29$3.45/sh−11,064$38,171→ 0 total(indirect: By IRA)
Sale
Series B Convertible Preferred Stock
2021-03-29$11.75/sh−1,100$12,925→ 0 total
Exercise: $40.00→ Common Stock (687.5 underlying)

Holdings

Common Stock
36,108
Series D Cumulative Convertible Preferred Stock
(indirect: Held in managed funds)
Exercise: $16.96→ Common Stock (31,840 underlying)
21,600
Series B Convertible Preferred Stock
(indirect: Held in managed funds)
Exercise: $40.00→ Common Stock (28,334 underlying)
45,335

Footnotes (4)

[F1]The price reported in Column 4 is a weighted average price. These shares were purchased in transactions at prices ranging from $3.40 to $3.535, inclusive. The reporting person undertakes to provide to Wheeler Real Estate Investment Trust, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
[F2]These shares are held by various investment partnerships, funds and managed accounts, in which NS Advisors, LLC ("NS Advisors") serves as the investment manager. Mr. Jones is the managing member of NS Advisors and has sole voting and investment authority over the shares.
[F3]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.
[F4]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.

Documents

1 file