Filing Details
- Accession Number:
- 0001209191-15-025005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-11 12:00:02
- Reporting Period:
- 2015-03-09
- Filing Date:
- 2015-03-11
- Accepted Time:
- 2015-03-11 12:00:02
- 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 | 2015-03-09 | 437,500 | $0.70 | 6,122,470 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-03-09 | 262,500 | $20.56 | 5,859,970 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-03-10 | 437,500 | $0.70 | 6,297,470 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-03-10 | 262,500 | $20.60 | 6,034,970 | 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 | 2015-03-09 | 437,500 | $0.00 | 437,500 | $0.70 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-03-10 | 437,500 | $0.00 | 437,500 | $0.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,312,500 | 2019-01-25 | No | 4 | M | Direct | |
| 875,000 | 2019-01-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 798 | Indirect | By Spouse |
Footnotes
- Includes restricted stock awards which vest as to (i) 75,421 shares on January 22, 2016, (ii) 37,538 shares on January 28, 2016, (iii) 51,772 shares on each of January 14, 2016 and 2017, (iv) 37,539 shares on January 28, 2017 and (v) 37,550 shares on January 28, 2018.
- The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.29 to $20.882, 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) of this Form 4.
- The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.175 to $20.7883, 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) of this Form 4.
- Exercisable as to 437,500 shares on each of January 26, 2010, 2011, 2012 and 2013.
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