Steamboat Capital Partners, LLC's Form 4 filing

Wheeler Real Estate Investment Trust, Inc. (WHLR) · filed Nov 9, 2023

Accession no.: 0001213900-23-085366
Filed: Nov 9, 2023, 6:29 PM ET
Trade date: Nov 7, 2023
Filing delay: 2 days
Rule 10b5-1 plan: Not checked

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $86.4K. It was filed 2 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
Owner	Relationship to the company
Steamboat Capital Partners, LLCCIK 0001635663	10% Owner
Kiai ParsaCIK 0001766850	10% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Nov 7, 2023	Common Stock, $0.01 par value	SSaleDisposed	−272,073	$0.3151^F2	−$85,730.2	282,794	Indirect
Nov 7, 2023	Common Stock, $0.01 par value	SSaleDisposed	−2,229	$0.3151^F2	−$702.36	5,998	Indirect

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade date	Security	Transaction	Underlying shares	Unit price	Value	Held after	Ownership	Flags
Nov 7, 2023	Common Stock, $0.01 par value	SSaleDisposed	−883	$13.82^F4	−$82,996.31	247,569	Indirect
Nov 7, 2023	Common Stock, $0.01 par value	SSaleDisposed	−10	$13.82^F4	−$1,022.77	3,038	Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

This is an average price. Actual prices received for the shares sold on 11/7/23 and reported on this line range from $0.29 to $.345. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Referenced by the price of 2 transactions in Table I.

This is an average price. Actual prices received for the shares sold on 11/7/23 and reported on this line range from $13.81 to $13.925. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares reported on this line represent the number of shares sold on 11/7/23 before the Reporting Persons ceased to be beneficial owners of more than 10% of the Series D Cumulative Convertible Preferred Shares, rounded up in each case.

Referenced by the price of 2 transactions in Table II.

Read the full filing on SEC EDGAR (opens in a new tab)