FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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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)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock | 03/05/2015 | J(1) | 307.8 | A | $3.47 | 307.8 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 04/06/2015 | J(1) | 461.86 | A | $2.3 | 769.66 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 05/05/2015 | J(1) | 229.55 | A | $2.31 | 999.21 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 06/04/2015 | J(1) | 234.04 | A | $2.3 | 1,233.25 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 07/06/2015 | J(1) | 268.52 | A | $2.01 | 1,501.77 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 08/05/2015 | J(1) | 282.97 | A | $1.92 | 1,784.74 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 09/03/2015 | J(1) | 287.68 | A | $1.9 | 2,072.42 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 10/05/2015 | J(1) | 294.39 | A | $1.87 | 2,366.81 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 11/05/2015 | J(1) | 282.59 | A | $1.97 | 2,649.4 | I | Held by trusts in the name of dependent children | |||||||
Common Stock | 12/03/2015 | J(1) | 300.65 | A | $1.87 | 2,950.05 | I | Held by trusts in the name of dependent children | |||||||
Commmon Stock | 713,824 | D | |||||||||||||
Commmon Stock | 31,680 | I | Owned by spouse | ||||||||||||
Common Stock | 12,047 | I | Held in profit sharing plan | ||||||||||||
Common Stock | 2,572 | I | Controlled through interests in other entities | ||||||||||||
Common Stock | 1,600 | I | Held by dependent child |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Common Units | (2) | (3) | (4) | Common Stock | 1,584,858 | 1,584,858 | D | |||||||
Common Units | (2) | (5) | (4) | Common Stock | 961 | 961 | D | |||||||
Common Units | (2) | (3) | (4) | Common Stock | 308,422 | 308,422 | I | Controlled through interests in other entities | ||||||
Common Units | (2) | (5) | (4) | Common Stock | 22,120 | 22,120 | I | Controlled through interests in other entities | ||||||
Common Units | (2) | (3) | (4) | Common Stock | 3,123 | 3,123 | I | Owned by spouse | ||||||
Common Units | (2) | (3) | (4) | Common Stock | 31,234 | 31,234 | I | Held by trusts in the name of dependent children |
Explanation of Responses: |
1. The trusts in the name of the dependent children of the reporting person acquired these shares of common stock under a dividend reinvestment plan, pursuant to a dividend reinvestment transaction exempt from Section 16 under Rule 16a-11 |
2. Pursuant to the Partnership Agreement of Wheeler REIT, L.P. (the "Partnership"), holders of the Partnership, may, after a one year holding period, elect to exchange their common units for common stock of Wheeler Real Estate Investment Trust, Inc. (the "Company") on an one-for-one basis. Upon a redemption request, the Company has the option to purchase the common units directly, either in cash or common stock of the Company. |
3. These common units have been held for one year and therefore may be redeemed in accordance with the Partnership Agreement. |
4. These derivative securities do not have an expiration date. |
5. These common units have been held for less than one year and therefore may not be currently exchanged. |
/s/ Jon S. Wheeler | 01/19/2016 | |
** 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 Number. |