SEC Form 4 · accession 0001209191-15-040654
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter M Ziemba
Officer — Chief Legal Officer
Period of report
May 7, 2015
Accepted (ET)
May 8, 2015 · 5:19 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 | May 7, 2015 | M | 250,000 | $1.07 | A | 914,907 | D | |
| Common StockF1 | May 7, 2015 | M | 100,000 | $2.25 | A | 1,014,907 | D | |
| Common StockF2,F1 | May 7, 2015 | S | 194,608 | $19.388 | D | 820,299 | D | |
| Common Stock | holding | — | — | — | 15,300 | I | By son |
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 | $1.07 | May 7, 2015 | M | 250,000 | D | — | Apr 22, 2017 | Common Stock | 250,000 | 0 | D |
| Stock Option (right to buy) | $2.25 | May 7, 2015 | M | 100,000 | D | Feb 15, 2012 | Jan 27, 2020 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Includes restricted stock awards which vest as to (i) 10,055 shares on January 14, 2016, (ii) 14,166 shares on January 22, 2016, (iii) 37,500 shares on January 25, 2016, (iv) 14,067 shares on January 28, 2016, (v) 10,057 shares on January 14, 2017, (vi) 14,068 shares on January 28, 2017 and (vii) 14,072 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 $19.07 to $19.66, 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 (at an exercise price of $6.35 per share) as to 200,000 shares vesting on each of April 27, 2008, 2009, 2010 and 2011. Modified on January 26, 2009 to also become exercisable (at an exercise price of $1.07 per share) as to 200,000 shares on each of January 27, 2010, 2011, 2012 and 2013.