Steamboat Capital Partners, LLC's Form 4 filing
Wheeler Real Estate Investment Trust, Inc. (WHLR) · filed Oct 6, 2021
- Accession no.
- 0001635663-21-000008
- Filed
- Oct 6, 2021, 9:35 PM ET
- Trade date
- Sep 27-Oct 4, 2021
- Filing delay
- 9 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 derivative transactions. It was filed 9 days after the trade, past the 2-business-day deadline.
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.
| 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.
This filing has no transactions of this kind.
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.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 4, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −7,296 | $16.33F2,F3 | −$80,853.3 | 101,395 | Indirect | |
| Sep 27, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −78 | $10.73F6 | −$1,351.79 | 42,025 | Indirect | |
| Sep 27, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −249 | $10.73F6 | −$4,280.67 | 186,976 | Indirect | |
| Sep 27, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −3 | $10.73F6 | −$53.64 | 2,592 | Indirect | |
| Oct 4, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −121 | $10.39F10 | −$2,015.68 | 41,831 | Indirect | |
| Oct 4, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −306 | $10.43F12 | −$5,119.9 | 41,340 | Indirect | |
| Oct 4, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −996 | $10.43F12 | −$16,621.44 | 185,382 | Indirect | |
| Oct 4, 2021 | Common Stock, $0.01 par value | SSaleDisposed | −13 | $10.43F12 | −$229.41 | 2,570 | 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.
- F2
This is an average price. The price at which the shares were actually sold ranges from $16.00 to $16.60.
Referenced by the price of 1 transaction in Table II.
- F3
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 sold at each separate price.
Referenced by the price of 1 transaction in Table II.
- F6
This is an average price. The prices at which the shares were actually sold range from $10.70 to $10.75.
Referenced by the price of 3 transactions in Table II.
- F10
This is an average price. The prices at which shares were actually sold range from $10.39 to $10.41.
Referenced by the price of 1 transaction in Table II.
- F12
This is an average price. The prices at which shares were actually sold range from $10.39 to $10.8475.
Referenced by the price of 3 transactions in Table II.
Remarks
The series of preferred stock of Wheeler Real Estate Investment Trust, Inc. reported hereon trades under two different tickers: WHLRD and WHLRP.