Filing Details
- Accession Number:
- 0001181431-14-010632
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-04 17:17:07
- Reporting Period:
- 2014-03-03
- Filing Date:
- 2014-03-04
- Accepted Time:
- 2014-03-04 17:17:07
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
880631 | Wisdomtree Investments Inc. | WETF | Security Brokers, Dealers & Flotation Companies (6211) | 133487784 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
934992 | L Jonathan Steinberg | C/O Wisdomtree Investments, Inc. 245 Park Avenue, 35Th Floor New York NY 10167 | 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 | 2014-03-03 | 187,500 | $0.03 | 5,525,306 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-03-03 | 37,500 | $15.01 | 5,300,306 | No | 4 | S | Direct | |
Common Stock | Disposition | 2014-03-04 | 75,000 | $15.53 | 5,225,306 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | 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 | 2014-03-03 | 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 |
---|---|---|---|---|---|---|
187,500 | 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
- 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 consequtive fiscal quarters.
- The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.03, 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 (2) to this Form 4.
- e price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $15.50 to $15.65, 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.