SEC Form 4 · accession 0001209191-15-081994
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael H Steinhardt
Director
Period of report
Aug 4, 2015
Accepted (ET)
Nov 24, 2015 · 4:11 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,F2 | Aug 4, 2015 | G | 500,000 | $0.00 | D | 11,826,214 | D | |
| Common StockF1,F3 | Aug 4, 2015 | G | 500,000 | $0.00 | A | 500,000 | I | By The Judy and Michael Steinhardt Foundation |
| Common StockF4,F3 | Nov 20, 2015 | S | 80,555 | $21.1849 | D | 419,445 | I | By The Judy and Michael Steinhardt Foundation |
| Common StockF5 | Nov 23, 2015 | S | 419,445 | $21.4133 | D | 0 | I | By The Judy and Michael Steinhardt Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares transferred by the Reporting Person as a bona fide gift to The Judy and Michael Steinhardt Foundation without consideration.
- F2Includes restricted stock award which vests as to 3,485 shares on June 24, 2016.
- F3The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
- F4The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $21.14 to $21.29, 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 (4) of this Form 4.
- F5The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.65, 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 (5) of this Form 4.