Filing Details
- Accession Number:
- 0001181431-14-030078
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-25 17:11:34
- Reporting Period:
- 2014-08-22
- Filing Date:
- 2014-08-25
- Accepted Time:
- 2014-08-25 17:11:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1064674 | M Peter Ziemba | C/O Wisdomtree Investments, Inc. 245 Park Avenue, 35Th Floor New York NY 10167 | Chief Legal Officer | No | 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 | 2014-08-22 | 44,650 | $1.07 | 707,604 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-22 | 44,650 | $11.02 | 662,954 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-25 | 5,350 | $1.07 | 668,304 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-25 | 5,350 | $11.28 | 662,954 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2014-08-22 | 44,650 | $0.00 | 44,650 | $1.07 |
| Common Stock | Stock Option (right to buy) | Disposition | 2014-08-25 | 5,350 | $0.00 | 5,350 | $1.07 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 305,350 | 2017-04-22 | No | 4 | M | Direct | |
| 300,000 | 2017-04-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,800 | Indirect | By Daughter |
| Common Stock | 13,800 | Indirect | By Son |
Footnotes
- Exercisable (at an exercise price of $6.35 per share) as to 200,000 shares vesting on each of April 27, 2008, 2009, 2010, and 2011. Modified on January 26, 2009 to also become exercisable (at an exercise price of $1.07 per share) as to 200,000 shares on each of January 27, 2010, 2011, 2012 and 2013.
- Includes (i) restricted stock award which vests as to 14,165 shares on January 25, 2015 and as to 14,166 shares on January 22, 2016, and (ii) restricted stock award which vests as to 37,500 shares on each of January 25, 2015 and 2016 and (iii) restricted stock which vests as to 25,000 shares on January 27, 2015.
- The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.16, 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.
- The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $11.08 to $11.52, 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 (4) to this Form 4.
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