Filing Details
- Accession Number:
- 0001209191-15-064363
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-06 16:12:05
- Reporting Period:
- 2015-08-04
- Filing Date:
- 2015-08-06
- Accepted Time:
- 2015-08-06 16:12:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1326907 | Amit Muni | C/O Wisdomtree Investments, Inc. 245 Park Avenue, 35Th Floor New York NY 10167 | Chief Financial 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 | 2015-08-04 | 300,000 | $1.07 | 826,976 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-08-04 | 100,000 | $2.25 | 926,976 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-08-04 | 75,000 | $5.05 | 1,001,976 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-08-04 | 475,000 | $25.46 | 526,976 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2015-08-04 | 300,000 | $1.07 | 300,000 | $1.07 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-08-04 | 100,000 | $2.25 | 100,000 | $2.25 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-08-04 | 75,000 | $5.05 | 75,000 | $5.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-01-15 | No | 4 | M | Direct | |
| 0 | 2012-02-15 | 2020-01-27 | No | 4 | M | Direct |
| 75,000 | 2021-01-26 | No | 4 | M | Direct |
Footnotes
- Includes restricted stock awards which vest as to (i) 14,336 shares on January 14, 2016, (ii) 9,011 shares on January 22, 2016, (iii) 37,500 shares on January 25, 2016, (iv) 14,067 shares on January 28, 2016, (v) 14,338 shares on January 14, 2017, (vi) 14,068 shares on January 28, 2017 and (vii) 14,072 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 $25.01 to $26.12, 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.
- Exercisable (at an exercise price of $2.72 per share) as to 75,000 shares on each of January 16, 2009, 2010, 2011 and 2012. Modified on January 26, 2009 to become exercisable (at an exercise price of $1.07 per share) as to 75,000 shares on each of January 27, 2010, 2011, 2012 and 2013.
- Exercisable as to 37,500 shares on each of January 27, 2014, 2015, 2016 and 2017.
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