Statement of Changes in Beneficial Ownership (4)
October 23 2013 - 5:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Wheeler Jon S
|
2. Issuer Name
and
Ticker or Trading Symbol
Wheeler Real Estate Investment Trust, Inc.
[
whlr
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO
|
(Last)
(First)
(Middle)
2529 VIRGINIA BEACH BOULEVARD, SUITE 200
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/21/2013
|
(Street)
VIRGINIA BEACH, VA 23452
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
|
|
|
|
|
|
|
82200
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
2572
|
I
|
Controlling interests in limited partnerships
|
Common Stock
|
|
|
|
|
|
|
|
1600
|
I
|
Shares owned by dependent child
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Common Units
|
(1)
|
10/21/2013
|
10/21/2013
|
P
|
|
6246
|
|
(2)
|
(3)
|
Common Stock
|
6246
|
(1)
|
69714
|
D
|
|
Common Units
|
(1)
|
10/21/2013
|
10/21/2013
|
P
|
|
3123
|
|
(2)
|
(3)
|
Common Stock
|
3123
|
(1)
|
3123
|
I
|
Owned by Spouse
|
Common Units
|
(1)
|
10/21/2013
|
10/21/2013
|
P
|
|
31235
|
|
(2)
|
(3)
|
Common Stock
|
31235
|
(1)
|
31235
|
I
|
Owned by dependent children
|
Common Units
|
(1)
|
|
|
|
|
|
|
(2)
|
(3)
|
Common Stock
|
278297
|
|
278297
|
I
|
Controlled through interests in limited partnerships
|
Explanation of Responses:
|
(
1)
|
Pursuant to the Partnership Agreement of Wheeler Real Estate Investment Trust LP ("Partnership"), holders of common units of the Partnership may, after one year holding period, elect to exchange their common units for common stock in Wheeler Real Estate Incvestment Trust Inc. (the "Company") on a one-for-one basis. Upon a redemption request, the Company has the option to purchase the common units directly, either in cash or in common stock of the Company.
|
(
2)
|
All common units have been held for less than one year and therefore may not be currently exchanged.
|
(
3)
|
These derivative securities do not have an expiration date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Wheeler Jon S
2529 VIRGINIA BEACH BOULEVARD
SUITE 200
VIRGINIA BEACH, VA 23452
|
X
|
|
CEO
|
|
Signatures
|
/s/ Jon S. Wheeler
|
|
10/23/2013
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Wheeler Real Estate Inve... (NASDAQ:WHLR)
Historical Stock Chart
From May 2024 to Jun 2024
Wheeler Real Estate Inve... (NASDAQ:WHLR)
Historical Stock Chart
From Jun 2023 to Jun 2024