Document:

Exhibit 4.2

 Exhibit 4.2 

 
  
 016570| 003590|127C|RESTRICTED||4|057-423 SERIES B CONVERTIBLE PREFERRED STOCK NO PAR VALUE 
 SERIES B CONVERTIBLE PREFERRED STOCK THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA, JERSEY CITY, NJ AND 
 COLLEGE STATION, TX Shares * * 000000 ****** * * * 000000 ***** **** 000000 **** ***** 000000* * * ****** 000000* * Certificate Number 

ZQ 000000 WHEELER REAL ESTATE INVESTMENT TRUST, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND THIS CERTIFIES
THAT is the owner of CUSIP 963025 30 9 SEE REVERSE FOR CERTAIN DEFINITIONS **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** 000000**Shares****000000**Shares ***ZEROHUNDREDTHOUSAND ZERO HUNDRED AND ZERO*** FULLY-PAID AND
NON-ASSESSABLE SHARES OF THE SERIES B CONVERTIBLE PREFERRED STOCK OF Wheeler Real Estate Investment Trust, Inc. (hereinafter called the “Company”), transferable on the books of the Company in person or by duly authorized attorney, upon
surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby, are issued and shall be held subject to all of the provisions of the Charter, as amended, and the By-Laws, as amended, of the Company (copies of
which are on file with the Company and with the Transfer Agent), to all of which each holder, by acceptance hereof, assents. This Certificate is not valid unless countersigned and registered by the Transfer Agent and Registrar. Witness the facsimile
seal of the Company and the facsimile signatures of its duly authorized officers. Chairman and President DATED <<Month Day, Year>> COUNTERSIGNED AND REGISTERED: COMPUTERSHARE TRUST COMPANY, N.A. TRANSFER AGENT AND REGISTRAR, By
AUTHORIZED SIGNATURE PO BOX 43004, Providence, RI 02940-3004 1234567 MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 CUSIP 963025 30 9 Holder ID XXXXXXXXXX Insurance Value 1,000,000.00 Number of Shares 123456 DTC 12345678 123456789012345
Certificate Numbers Num/No. Denom. Total 1234567890/1234567890 Total Transaction 7 

	
	 

    
 WHEELER REAL ESTATE INVESTMENT TRUST, INC. THE COMPANY WILL FURNISH TO ANY STOCKHOLDER, ON REQUEST AND WITHOUT CHARGE, A FULL STATEMENT OF THE INFORMATION REQUIRED BY SECTION 2-211(B) OF
THE CORPORATIONS AND ASSOCIATIONS ARTICLE OF THE ANNOTATED CODE OF MARYLAND WITH RESPECT TO THE DESIGNATIONS AND ANY PREFERENCES, CONVERSION AND OTHER RIGHTS, VOTING POWERS, RESTRICTIONS, LIMITATIONS AS TO DIVIDENDS AND OTHER DISTRIBUTIONS,
QUALIFICATIONS, AND TERMS AND CONDITIONS OF REDEMPTION OF THE STOCK OF EACH CLASS WHICH THE COMPANY HAS AUTHORITY TO ISSUE AND, IF THE COMPANY IS AUTHORIZED TO ISSUE ANY PREFERRED OR SPECIAL CLASS IN SERIES, (I) THE DIFFERENCES IN THE RELATIVE
RIGHTS AND PREFERENCES BETWEEN THE SHARES OF EACH SERIES TO THE EXTENT SET, AND (II) THE AUTHORITY OF THE BOARD OF DIRECTORS TO SET SUCH RIGHTS AND PREFERENCES OF SUBSEQUENT SERIES. THE FOREGOING SUMMARY DOES NOT PURPORT TO BE COMPLETE AND IS
SUBJECT TO AND QUALIFIED IN ITS ENTIRETY BY REFERENCE TO THE CHARTER OF THE COMPANY, A COPY OF WHICH WILL BE SENT WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO REQUESTS. SUCH REQUEST MUST BE MADE TO THE SECRETARY OF THE COMPANY AT ITS PRINCIPAL OFFICE.
THE SHARES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO RESTRICTIONS ON BENEFICIAL OWNERSHIP AND CONSTRUCTIVE OWNERSHIP AND TRANSFER FOR THE PURPOSE OF THE COMPANY’S MAINTENANCE OF ITS QUALIFICATION AS A REAL ESTATE INVESTMENT TRUST UNDER THE
INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE “CODE”). SUBJECT TO CERTAIN FURTHER RESTRICTIONS AND EXCEPT AS EXPRESSLY PROVIDED IN THE COMPANY’S CHARTER, (I) NO PERSON MAY BENEFICIALLY OWN OR CONSTRUCTIVELY OWN SHARES OF THE
COMPANY’S COMMON STOCK IN EXCESS OF 9.8 PERCENT (IN VALUE OR NUMBER OF SHARES) OF THE OUTSTANDING SHARES OF COMMON STOCK OF THE COMPANY UNLESS SUCH PERSON IS AN EXCEPTED HOLDER (IN WHICH CASE THE EXCEPTED HOLDER LIMIT SHALL BE APPLICABLE); (II)
NO PERSON MAY BENEFICIALLY OWN OR CONSTRUCTIVELY OWN SHARES OF CAPITAL STOCK OF THE COMPANY IN EXCESS OF 9.8 PERCENT (IN VALUE OR NUMBER OF SHARES) OF THE TOTAL OUTSTANDING SHARES OF CAPITAL STOCK OF THE COMPANY, UNLESS SUCH PERSON IS AN EXCEPTED
HOLDER (IN WHICH CASE THE EXCEPTED HOLDER LIMIT SHALL BE APPLICABLE); (III) NO PERSON MAY BENEFICIALLY OWN OR CONSTRUCTIVELY OWN CAPITAL STOCK THAT WOULD RESULT IN THE COMPANY BEING “CLOSELY HELD” UNDER SECTION 856(H) OF THE CODE OR
OTHERWISE CAUSE THE COMPANY TO FAIL TO QUALIFY AS A REIT; AND (IV) NO PERSON MAY TRANSFER SHARES OF CAPITAL STOCK IF SUCH TRANSFER WOULD RESULT IN THE CAPITAL STOCK OF THE COMPANY BEING OWNED BY FEWER THAN 100 PERSONS. ANY PERSON WHO BENEFICIALLY
OWNS OR CONSTRUCTIVELY OWNS OR ATTEMPTS TO BENEFICIALLY OWN OR CONSTRUCTIVELY OWN SHARES OF CAPITAL STOCK WHICH CAUSES OR WILL CAUSE A PERSON TO BENEFICIALLY OWN OR CONSTRUCTIVELY OWN SHARES OF CAPITAL STOCK IN EXCESS OR IN VIOLATION OF THE ABOVE
LIMITATIONS MUST IMMEDIATELY NOTIFY THE COMPANY. IF THE RESTRICTIONS ON TRANSFER OR OWNERSHIP PROVIDED IN (I), (II) OR (III) ABOVE ARE VIOLATED, THE SHARES OF CAPITAL STOCK IN EXCESS OR IN VIOLATION OF THE ABOVE LIMITATIONS WILL BE AUTOMATICALLY
TRANSFERRED TO A TRUSTEE OF A TRUST FOR THE BENEFIT OF ONE OR MORE CHARITABLE BENEFICIARIES. IN ADDITION, THE COMPANY MAY REDEEM SHARES UPON THE TERMS AND CONDITIONS SPECIFIED BY THE BOARD OF DIRECTORS IN ITS SOLE DISCRETION IF THE BOARD OF
DIRECTORS DETERMINES THAT OWNERSHIP OR A TRANSFER OR OTHER EVENT MAY VIOLATE THE RESTRICTIONS DESCRIBED ABOVE. FURTHERMORE, IF THE OWNERSHIP RESTRICTION PROVIDED IN (IV) ABOVE WOULD BE VIOLATED OR UPON THE OCCURRENCE OF CERTAIN EVENTS, ATTEMPTED
TRANSFERS IN VIOLATION OF THE RESTRICTIONS DESCRIBED ABOVE MAY BE VOID AB INITIO. IF THIS CERTIFICATE IS LOST, STOLEN OR DESTROYED, THE COMPANY WILL REQUIRE A BOND OF INDEMNITY AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE. The
following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations: TEN COM - as tenants in common UNIF GIFT MIN ACT -
Custodian (Cust) (Minor) TEN ENT - as tenants by the entireties under Uniform Gifts to Minors Act (State) JT TEN - as joint tenants with right of survivorship UNIF TRF MIN ACT - Custodian (until age ) and not as tenants in common (Cust) under
Uniform Transfers to Minors Act (Minor) (State) Additional abbreviations may also be used though not in the above list. (FORM OF ASSIGNMENT) FOR VALUE RECEIVED, the undersigned assigns and transfers the shares of Series B Convertible Preferred Stock
evidenced hereby to: (Insert assignee’s social security or tax identification number) (Insert address and zip code of assignee) and irrevocably appoints: agent to transfer the shares of Series B Convertible Preferred Stock evidenced hereby on
the books of the Transfer Agent and Registrar. The agent may substitute another to act for him or her. 
 Date:
Signature: (Sign exactly as your name appears on the other side of this Series B Convertible Preferred Stock Certificate) Signature Guarantee: THE SIGNATURE TO THIS ASSIGNMENT FORM MUST CORRESPOND TO THE NAME WRITTEN UPON THE FACE OF THE SERIES B
CONVERTIBLE PREFERRED STOCK CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATSOEVER, AND MUST BE GUARANTEED BY A COMMERCIAL BANK OR TRUST COMPANY OR A MEMBER FIRM OF THE AMERICAN STOCK EXCHANGE, NASDAQ, NEW YORK
STOCK EXCHANGE, PACIFIC STOCK EXCHANGE OR CHICAGO STOCK EXCHANGE. (FORM NOTICE OF CONVERSION) (To be Executed by the Registered Holder in order to convert Series B Convertible Preferred Stock) The undersigned hereby irrevocably elects to convert
(the “Conversion” ) shares of Series B Convertible Preferred Stock (the “Series B Preferred Stock”), represented by stock certificate No(s). (the “Series B Preferred Stock Certificates”) into shares of common stock, par
value $0.01 per share (“Common Stock”), of Wheeler Real Estate Investment Trust, Inc. (the “Company”), according to the conditions of the Charter of the Company, as the same may be amended from time to time in accordance with its
terms, establishing the terms of the Series B Preferred Stock, as of the date written below. If shares are to be issued in the name of a person other than the undersigned, the undersigned will pay all transfer taxes payable with respect thereto and
is delivering herewith such certificates. No fee will be charged to the holder for any conversion, except for transfer taxes, if any. A copy of each Series B Preferred Stock Certificate is attached hereto (or evidence of loss, theft or destruction
thereof). The Company is not required to issue shares of Common Stock until the original Series B Preferred Stock Certificate(s) (or evidence of loss, theft or destruction thereof) to be converted are received by the Company or its Transfer Agent.
The Company shall issue and deliver shares of Common Stock to an overnight courier not later than two business days following receipt of the original Series B Preferred Stock Certificate(s) to be converted. Date of Conversion: Applicable Conversion
Rate: Number of shares of Series B Preferred Stock to be converted: Number of shares of Common Stock to be Issued: Signature: Name: Address:1 Fax No.: 1 Address where shares of Common Stock and any other payments or certificates shall be sent by the
Company. The IRS requires that we report the cost basis of certain shares acquired after January 1, 2011. If your shares were covered by the legislation and you have sold or transferred the shares and requested a specific cost basis calculation
method, we have processed as requested. If you did not specify a cost basis calculation method, we have defaulted to the first in, first out (FIFO) method. Please visit our website or consult your tax advisor if you need additional information about
cost basis. If you do not keep in contact with us or do not have any activity in your account for the time periods specified by state law, your property could become subject to state unclaimed property laws and transferred to the appropriate state.
1234567Exhibit 4.3

 Exhibit 4.3 

 

	
	

  

016570| 003590|127C|RESTRICTED||4|057-423 
 WARRANT CERTIFICATE 
 WARRANT CERTIFICATE

 THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA, JERSEY CITY, NJ AND 

COLLEGE STATION, TX 
 Warrants 
 * * 000000 ****** 

* * * 000000 ***** 
 **** 000000 **** 
 ***** 000000* * * 

****** 000000* * 
 Number ZQ 000000 
 THIS WARRANT CERTIFICATE WILL BE
VOID IF NOT EXERCISED PRIOR TO 5:00 P.M. NEW YORK CITY TIME, , 2019 
 WHEELER REAL ESTATE INVESTMENT TRUST, INC.

 INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND 

THIS CERTIFIES THAT 
 for value received 
 **** Mr. Alexander David
Sample **** Mr. Alexander David Sample 
 **Shares****000000**Shares****000000**Shares 

is the registered holder of a Warrant or Warrants expiring at 5:00 p.m., New York City time, on , 2019 (the
“Warrant”) to purchase one fully paid and non-assessable share (“Share”) of Common Stock, par value $0.01 per share (“Common Stock”), of Wheeler Real Estate Investment Trust, Inc., a Maryland corporation (the
“Corporation”), for each Warrant evidenced by this Warrant Certificate. The Warrant entitles the holder thereof to purchase from the Corporation such number of Shares of the Corporation at the price of $ per share, upon surrender of this
Warrant Certificate and payment of the Warrant Price at the office or agency of Computershare Inc., and its fully owned subsidiary, Computershare Trust Company N.A. (collectively the “Warrant Agent”), but only subject to the conditions set
forth herein and in the Warrant Agreement, made as of April , 2014, between the Corporation and the Warrant Agent (as the same may be amended from time to time, the “Warrant Agreement”). The Corporation shall not be obligated to deliver
any securities pursuant to the exercise of a Warrant and shall have no obligation to settle a Warrant exercise unless a registration statement under the Securities Act of 1933, as amended (the “Act”), with respect to the Common Stock is
effective. In the event that a registration statement with respect to the Common Stock underlying a Warrant is not effective under the Act, the holder of such Warrant shall not be entitled to exercise such Warrant and such Warrant may have no value
and expire worthless. In no event will the Corporation be required to net cash settle the warrant exercise. The Warrant Agreement provides that upon the occurrence of certain events, the Warrant Price and the number of Warrant Shares purchasable
hereunder, set forth on the face hereof, may, subject to certain conditions, be adjusted. The term Warrant Price as used in this Warrant Certificate refers to the price per Share at which Shares may be purchased at the time the Warrant is exercised.
The Shares underlying the Warrants represented by this Warrant certificate are subject to restrictions on beneficial ownership and constructive ownership and transfer for the purpose of the Corporation’s maintenance of its qualification as a
Real Estate Investment Trust (“REIT”) under the Internal Revenue Code of 1986, as amended (the “Code”). Subject to certain further restrictions and except as expressly provided in the Corporation’s Charter, (i) no person may
beneficially own or constructively own Shares of the Corporation’s Common Stock in excess of 9.8 percent (in value or number of shares) of the outstanding shares of Common Stock of the Corporation unless such person is an excepted holder (in
which case the excepted holder limit shall be applicable); (ii) no person may beneficially own or constructively own shares of capital stock of the Corporation in excess of 9.8 
 percent (in value or number of shares) of the total outstanding Shares of capital stock of the Corporation, unless such person is an excepted holder (in which case the excepted holder
limit shall be applicable); (iii) no person may beneficially own or constructively own capital stock that would result in the Corporation being “closely held” under Section 856(h) of the Code or otherwise cause the Corporation to fail to
qualify as a REIT; and (iv) no person may transfer Shares of capital stock if such transfer would result in the capital stock of the Corporation being owned by fewer than 100 persons. Any person who beneficially owns or constructively owns or
attempts to beneficially own or constructively own Shares of capital stock which causes or will cause a person to beneficially own or constructively own Shares of capital stock in excess or in violation of the above limitations must immediately
notify the Corporation. If the restrictions on transfer or ownership provided in (i), (ii) or (iii) above are violated, the shares of capital stock in excess or in violation of the above limitations will be automatically transferred to a trustee of
a trust for the benefit of one or more charitable beneficiaries. In addition, the Corporation may redeem shares upon the terms and conditions specified by the Board of Directors in its sole discretion if the Board of Directors determines that
ownership or a transfer or other event may violate the restrictions described above. Furthermore, if the ownership restriction provided in (iv) above would be violated or upon the occurrence of certain events, attempted transfers in violation of the
restrictions described above may be void ab initio. No fraction of a Share will be issued upon any exercise of a Warrant. If the holder of a Warrant would be entitled to receive a fraction of a Share upon any exercise of a Warrant, the Corporation
shall, at its election upon such exercise, either pay a cash adjustment in respect of such fraction in an amount equal to such fraction multiplied by the exercise price or round up or down to the nearest whole number the number of Shares to be
issued to such holder. Upon any exercise of the Warrant for less than the total number of full Shares provided for herein, there shall be issued to the registered holder hereof or the registered holder’s assignee a new Warrant Certificate
covering the number of Shares for which the Warrant has not been exercised. Warrant Certificates, when surrendered at the office or agency of the Warrant Agent by the registered holder hereof in person or by attorney duly authorized in writing, may
be exchanged in the manner and subject to the limitations provided in the Warrant Agreement, but without payment of any service charge, for another Warrant Certificate or Warrant Certificates of like tenor and evidencing in the aggregate a like
number of Warrants. Upon due presentment for registration of transfer of the Warrant Certificate at the office or agency of the Warrant Agent, a new Warrant Certificate or Warrant Certificates of like tenor and evidencing in the aggregate a like
number of Warrants shall he issued to the transferee in exchange for this Warrant Certificate, subject to the limitations provided in the Warrant Agreement, without charge except for any applicable tax or other governmental charge. 

The Corporation and the Warrant Agent may deem and treat the registered holder as the absolute owner of this Warrant
Certificate (notwithstanding any notation of ownership or other writing hereon made by anyone), for the purpose of any exercise hereof, of any distribution to the registered holder, and for all other purposes, and neither the Corporation nor the
Warrant Agent shall be affected by any notice to the contrary. This Warrant does not entitle the registered holder to any of the rights of a stockholder of the Corporation. 
 DATED <<Month Day, Year>> 

COUNTERSIGNED AND REGISTERED: 
 COMPUTERSHARE TRUST COMPANY, N.A. 
 TRANSFER AGENT
AND REGISTRAR, 
 Chairman and President 
 By 
 AUTHORIZED SIGNATURE 

1234567 
 PO BOX 43004, Providence, RI 02940-3004 
 MR A
SAMPLE 
 DESIGNATION (IF ANY) 
 ADD 1 
 ADD 2 

ADD 3 
 ADD 4 
 CUSIP 911963025 Holder ID XXXXXXXXXX

 Insurance Value 00.1,000,000 Number of Shares 123456 

DTC 12345678901234512345678 
 Certificate Numbers Num/No Denom. Total. 

1234567890/1234567890 
 Total Transaction 7 

	
	 

  
 WHEELER REAL ESTATE INVESTMENT TRUST, INC. 

SUBSCRIPTION FORM 
 To Be Executed by the Registered Holder in Order to Exercise Warrants 
 The undersigned Registered Holder irrevocably elects to exercise 
 Warrants represented by this Warrant Certificate, and to 
 purchase the shares of Common Stock issuable upon the exercise of such Warrants, and requests that Certificates for such shares shall be issued in the name of 

(PLEASE TYPE OR PRINT NAME AND ADDRESS) 
 and be delivered to 
 (SOCIAL SECURITY OR TAX
IDENTIFICATION NUMBER) 
 (PLEASE TYPE OR PRINT NAME AND ADDRESS) 

and, if such number of Warrants shall not be all the Warrants evidenced by this Warrant Certificate, that a new Warrant
Certificate for the balance of such Warrants be registered in the name of, and delivered to, the Registered Holder at the address stated below: 
 Dated: 
 Signature: 

Address: 
 Tax Identification Number: 
 ASSIGNMENT 

To Be Executed by the Registered Holder in Order to Assign Warrants 

For value received, 
 hereby sell, assign and transfer unto 
 (PLEASE
TYPE OR PRINT NAME AND ADDRESS) 
 and be delivered to 

(SOCIAL SECURITY OR TAX IDENTIFICATION NUMBER) 
 (PLEASE TYPE OR PRINT NAME AND ADDRESS) 
 of the
Warrants represented by this Warrant Certificate, and hereby irrevocably constitute and appoint Attorney to transfer this Warrant Certificate on the books of the Corporation, with full power of substitution in the premises. 

Dated: 
 Signature: 
 THE SIGNATURE TO THE ASSIGNMENT OF THE
SUBSCRIPTION 
 FORM MUST CORRESPOND TO THE NAME WRITTEN UPON THE FACE OF THIS WARRANT CERTIFICATE IN EVERY
PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATSOEVER, AND MUST BE GUARANTEED BY A COMMERCIAL BANK OR TRUST COMPANY OR A MEMBER FIRM OF THE AMERICAN STOCK EXCHANGE, NASDAQ, NEW YORK STOCK EXCHANGE, PACIFIC STOCK EXCHANGE OR CHICAGO
STOCK EXCHANGE. 
 Signature(s) Guaranteed: Medallion Guarantee Stamp 

THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks, Stockbrokers, Savings and Loan
Associations and Credit Unions) WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15. 
 The IRS requires that we report the cost basis of certain shares acquired after January 1, 2011. If your shares were covered by the legislation and you have sold or transferred the shares
and requested a specific cost basis calculation method, we have processed as requested. If you did not specify a cost basis calculation method, we have defaulted to the first in, first out (FIFO) method. Please visit our website or consult your tax
advisor if you need additional information about cost basis. 
 If you do not keep in contact with us or do not
have any activity in your account for the time periods specified by state law, your property could become subject to state unclaimed property laws and transferred to the appropriate state.

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