SEC Form 4 · accession 0001209191-15-021057
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael H Steinhardt
Director · 10% Owner
Period of report
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 3:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000880631
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 27, 2015 | S | 55,657 | $18.9262 | D | 128,243 | I | By The Judy and Michael Steinhardt Foundation |
| Common StockF3,F2 | Mar 2, 2015 | S | 128,243 | $19.0774 | D | 0 | I | By The Judy and Michael Steinhardt Foundation |
| Common StockF4,F5 | Mar 2, 2015 | S | 230,300 | $19.269 | D | 14,670,321 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $18.85 to $19.04, 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 (1) of this Form 4.
- F2The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
- F3The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $18.85 to $19.25, 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.
- F4The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $19.10 to $19.43, 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) of this Form 4.
- F5Includes restricted stock award which vests as to 6,672 shares on June 27, 2015.