SEC Form 4 · accession 0001209191-15-041790
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Salerno
Director
Period of report
May 8, 2015
Accepted (ET)
May 12, 2015 · 5:07 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 8, 2015 | M | 100,000 | $2.03 | A | 180,761 | D | |
| Common StockF2,F1 | May 11, 2015 | S | 800 | $19.9888 | D | 179,961 | 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 | $2.03 | May 8, 2015 | M | 100,000 | D | — | Jul 21, 2015 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Includes restricted stock award which vests as to 6,672 shares on June 27, 2015.
- F2The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $19.95 to $20.09, 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 150,000 shares on each of July 22, 2006, 2007 and 2008.