Zwerdling Jeffrey M. 4

Accession 0001588047-19-000002

CIK 0001527541other

Filed

Feb 28, 7:00 PM ET

Accepted

Mar 1, 2:22 PM ET

Size

33.7 KB

Accession

0001588047-19-000002

Form 4

Period: 2012-11-13

Director

Transactions

Purchase
Series B Convertible Preferred Stock
2014-09-12$24.99/sh+4,500$112,455→ 11,000 total(indirect: By Trust)
Exercise: $40.00→ Common Stock (2,812.5 underlying)
Purchase
Common Stock
2012-11-13$5.25/sh+108,000$567,000→ 13,500 total(indirect: By Trust)
Purchase
Common Stock Warrants
2014-09-12$0.01/sh+3,000$24→ 10,800 total(indirect: By Trust)
Exercise: $44.00→ Common Stock (375 underlying)
Purchase
Common Stock
2013-08-21$4.30/sh+24,500$105,350→ 16,563 total(indirect: By Trust)
Purchase
Common Stock
2015-02-09$3.60/sh+5,000$18,000→ 17,188 total(indirect: By Trust)
Purchase
Common Stock
2013-08-21$4.30/sh+200$860→ 750 total(indirect: By LLC)
Purchase
Series B Convertible Preferred Stock
2014-04-24$24.99/sh+6,500$162,435→ 6,500 total(indirect: By Trust)
Exercise: $40.00→ Common Stock (4,062.5 underlying)
Purchase
Common Stock
2012-11-13$5.25/sh+5,800$30,450→ 725 total(indirect: By LLC)
Purchase
Common Stock Warrants
2014-04-24$0.01/sh+7,800$62→ 7,800 total(indirect: By Trust)
Exercise: $44.00→ Common Stock (975 underlying)
Purchase
Common Stock Warrants
2014-09-24$0.01/sh+2,400$19→ 13,200 total(indirect: By Trust)
Exercise: $44.00→ Common Stock (300 underlying)

Holdings

Common Stock
(indirect: Held in profit sharing plan)
1,111
Series D Cumulative Covertible Preferred Stock
Exercise: $16.96→ Common Stock (1,474 underlying)
1,000
Series B Convertible Preferred Stock
(indirect: Held in profit sharing plan)
Exercise: $40.00→ Common Stock (2,500 underlying)
4,000
Common Stock Warrants
(indirect: Held in profit sharing plan)
Exercise: $44.00→ Common Stock (600 underlying)
4,800
Common Stock
96,593
Common Stock
(indirect: By Spouse)
750
Series D Cumulative Covertible Preferred Stock
(indirect: By Spouse)
Exercise: $16.96→ Common Stock (5,896 underlying)
4,000
Series B Convertible Preferred Stock
Exercise: $40.00→ Common Stock (6,250 underlying)
10,000
Common Stock Warrants
Exercise: $44.00→ Common Stock (1,500 underlying)
12,000

Footnotes (5)

[F1]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.
[F2]Adjusted for the Company's Reverse Stock Split.
[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]The common stock warrants are excercisable at $44.00 per share. The common stock warrants expire on April 29, 2019.
[F5]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

Wheeler Real Estate Investment Trust, Inc.

CIK 0001527541

Entity typeother