SEC Form 4 · accession 0001209191-15-026052
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan L Steinberg
Officer — Chief Executive Officer · Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 4:25 pm EDT
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 11, 2015 | M | 437,500 | $0.70 | A | 6,472,470 | D | |
| Common StockF2,F1 | Mar 11, 2015 | S | 262,500 | $20.8653 | D | 6,209,970 | D | |
| Common StockF1 | Mar 12, 2015 | M | 437,500 | $0.70 | A | 6,647,470 | D | |
| Common StockF3,F1 | Mar 12, 2015 | S | 262,500 | $20.7309 | D | 6,384,970 | D | |
| Common Stock | holding | — | — | — | 798 | I | By Spouse |
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)F4 | $0.70 | Mar 11, 2015 | M | 437,500 | D | — | Jan 25, 2019 | Common Stock | 437,500 | 437,500 | D |
| Stock Option (right to buy)F4 | $0.70 | Mar 12, 2015 | M | 437,500 | D | — | Jan 25, 2019 | Common Stock | 437,500 | 0 | D |
Explanation of responses
- F1Includes 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.
- F2The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.555 to $21.19, 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.
- F3The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.47 to $21.225, 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.
- F4Exercisable as to 437,500 shares on each of January 26, 2010, 2011, 2012 and 2013.