Filing Details
- Accession Number:
- 0001181431-14-017851
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-05-05 13:36:51
- Reporting Period:
- 2013-02-14
- Filing Date:
- 2014-05-05
- Accepted Time:
- 2014-05-05 12:36:51
- Original Submission Date:
- 2013-02-15
- 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 |
|---|---|---|---|---|---|---|---|
| 1237844 | Frank Salerno | C/O Wisdomtree Investments, Inc. 245 Park Avenue, 35Th Floor New York NY 10167 | Yes | No | 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 | Disposition | 2013-02-14 | 100,000 | $2.03 | 175,589 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-02-14 | 55,000 | $8.96 | 120,589 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-02-15 | 45,000 | $9.01 | 75,589 | 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 | 2013-02-14 | 100,000 | $2.03 | 100,000 | $2.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 350,000 | 2015-07-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 17,321 | Indirect | By Hillcrest Financial, LLC |
Footnotes
- Exercisable as to 150,000 shares on each of July 22, 2006, 2007 and 2008.
- Includes 27,137 shares of restricted stock vesting as to 13,568 shares on July 27, 2013 and as to 13,569 shares on July 27, 2014.
- The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $8.88 to $9.07, 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 footnotes (3) and (4) to this Form 4.
- The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $8.95 to $9.16, inclusive.
Billionaire Hedge Funds
