SEC Form 4 · accession 0001209191-15-023476
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luciano Siracusano III
Officer — Chief Investment Strategist
Period of report
Mar 5, 2015
Accepted (ET)
Mar 6, 2015 · 3:53 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 | Mar 5, 2015 | M | 60,000 | $0.70 | A | 416,320 | D | |
| Common StockF2,F1 | Mar 5, 2015 | S | 60,000 | $20.2909 | D | 356,320 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $0.70 | Mar 5, 2015 | M | 60,000 | D | — | Jan 25, 2019 | Common Stock | 60,000 | 75,000 | D |
Explanation of responses
- F1Includes restricted stock awards which vest as to (i) 24,611 shares on January 14, 2016, (ii) 21,073 shares on January 22, 2016, (iii) 14,219 shares on each of January 28, 2016 and 2017, (iv) 24,613 shares on January 14, 2017 and (v) 14,224 shares on January 28, 2018.
- F2The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.07 to $20.48, 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.
- F3Exercisable as to 50,000 shares on each of January 26, 2010, 2011, 2012 and 2013.