Filing Details

Accession Number:
0001181431-13-060587
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-25 17:26:16
Reporting Period:
2013-11-25
Filing Date:
2013-11-25
Accepted Time:
2013-11-25 17:26:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
880631 Wisdomtree Investments Inc. WETF Commodity Contracts Brokers & Dealers (6221) 133487784
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
934992 L Jonathan Steinberg 380 Madison Avenue
21St Floor
New York NY 10017
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-25 187,500 $0.03 4,996,451 No 4 M Direct
Common Stock Disposition 2013-11-25 112,500 $14.70 4,883,951 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2013-11-25 187,500 $0.00 187,500 $0.03
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,312,500 2014-03-16 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 798 Indirect Owned by Spouse
Footnotes
  1. Exercisable as to 300,000 shares on each of March 17, 2005, 2006, 2007, 2008, 2009 and as to 1,500,000 additional shares at such time as the issuer has achieved at least $1.00 in net income in two consequcutive fiscal quarters.
  2. Includes restricted stock vesting as to 150,841 shares on January 22, 2014 and as to 75,421 shares on each of January 22, 2015 and 2016.
  3. The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $14.60 to $14.87, inclusive. The reporting person undertakes to provide to WisdomTree Investments, Inc., any security holder of WisdomTree Investments, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.