SEC Form 4 · accession 0001209191-15-064366
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce I Lavine
Director · Other
Period of report
Aug 4, 2015
Accepted (ET)
Aug 6, 2015 · 4:16 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 Stock | Aug 4, 2015 | M | 60,000 | $0.70 | A | 190,973 | D | |
| Common StockF1 | Aug 4, 2015 | S | 30,000 | $25.3471 | D | 160,973 | D | |
| Common Stock | Aug 5, 2015 | M | 60,000 | $0.70 | A | 220,973 | D | |
| Common StockF2 | Aug 5, 2015 | S | 30,000 | $25.7478 | D | 190,973 | D | |
| Common Stock | holding | — | — | — | 25,000 | I | By 2012 Bruce Lavine Irrevocable Trust |
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) | $0.70 | Aug 4, 2015 | M | 60,000 | D | Jul 31, 2015 | Jan 25, 2019 | Common Stock | 60,000 | 90,000 | D |
| Stock Option (right to buy) | $0.70 | Aug 5, 2015 | M | 60,000 | D | Jul 31, 2015 | Jan 25, 2019 | Common Stock | 60,000 | 30,000 | D |
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 $25.31 to $26.01, 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 price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $25.44 to $26.00, 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.