SEC Form 4 · accession 0001209191-16-094124
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
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 3:59 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 | Jan 27, 2016 | A | 441,872 | $0.00 | A | 6,954,955 | D | |
| Common StockF3,F4 | Jan 28, 2016 | F | 20,954 | $0.00 | D | 6,934,001 | D | |
| Common Stock | holding | — | — | — | 798 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock awarded by Issuer on January 27, 2016 and vesting as to (i) 147,291 shares on each of January 27, 2017 and 2018 and (ii) 147,290 shares on January 27, 2019.
- F2Includes restricted stock awards which vest as to (i) 37,538 shares on January 28, 2016, (ii) 51,772 shares on January 14, 2017, (iii) 37,539 shares on January 28, 2017, (iv) 37,550 shares on January 28, 2018,(v) 147,291 shares on each of January 27, 2017 and 2018 and (vi) 147,290 shares on January 27, 2019.
- F3Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
- F4Includes restricted stock awards which vest as to (i) 51,772 shares on January 14, 2017, (ii) 37,539 shares on January 28, 2017, (iii) 37,550 shares on January 28, 2018,(iv) 147,291 shares on each of January 27, 2017 and 2018 and (v) 147,290 shares on January 27, 2019.