Home > Insider Trading > Filing (0001209191-20-005221)

Filing Details

Accession Number:: 0001209191-20-005221
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-01-28 17:20:07
Reporting Period:: 2020-01-25

Accepted Time:: 2020-01-28 17:20:07
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
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-01-25	35,602	$0.00	714,539	No	4	A	Direct
Common Stock	Disposition	2020-01-25	17,052	$0.00	697,487	No	4	F	Direct
Common Stock	Disposition	2020-01-28	28,500	$3.87	668,987	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Performance Based Restricted Stock Units	Acquisiton	2020-01-25	8,900	$0.00	8,900	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
8,900	2023-01-25		No	4	A	Direct

Footnotes

Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 11,867 shares on each of January 25, 2021 and 2022 and (ii) 11,868 shares on January 25, 2023.
Includes restricted stock awards which vest as to (i) 53,572 shares on January 25, 2021, (ii) 41,151 shares on January 25, 2022 and (iii) 11,868 shares on January 25, 2023.
Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the Reporting Person on December 13, 2019. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction. All sales by the Reporting Person are subject to the Issuer's equity ownership requirements.
The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $3.83 to $3.905, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote 5 of this Form 4.
On the third anniversary of the grant date, the Performance-Based Restricted Stock Units ("PRSUs") will vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued pursuant to the PRSUs will be determined based on the total shareholder return ("TSR") of the Common Stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a three-year period from the date of grant of the PRSUs. The number of shares of Common Stock to be issued upon vesting of the PRSUs will range between 0% to 200% of the number of shares indicated above (the target share amount).
(Continuation of Footnote 6) - If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the third anniversary of the grant date, all or a portion of the PRSUs will vest and the number of shares of Common Stock to be issued pursuant to the PRSUs will be determined at such time, based on the respective TSRs of the Common Stock and the stocks of the peer group, each measured from the grant date to the accelerated vesting date. PRSUs have no voting rights and are generally non-transferable.