SEC Form 4 · accession 0001209191-16-117810
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L Begleiter
Director
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 4:59 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 StockF2 | May 3, 2016 | J | 996,000 | $0.00 | D | 0 | I | By Flexpoint Fund, L.P. |
| Common StockF4 | May 3, 2016 | J | 203,536 | $0.00 | A | 203,536 | I | By Flexpoint Management, L.P. |
| Common Stock | May 3, 2016 | J | 203,536 | $0.00 | D | 0 | I | By Flexpoint Management, L.P. |
| Common StockF5 | May 3, 2016 | J | 20,054 | $0.00 | A | 120,970 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a pro rata distribution of shares of common stock of the Issuer for no consideration by Flexpoint Fund, L.P. (the "Fund"), the direct owner of the shares, to its general and limited partners on May 3, 2016, including Flexpoint Management, L.P. (the "GP"), the general partner of the Fund (the "Fund Distribution").
- F2These shares were owned directly by the Fund. The GP is the general partner of the Fund. Although the reporting person has no voting or dispositive power over these shares, by virtue of his interest in the GP, he may be deemed to have indirect beneficial ownership of these shares. The reporting person expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of these shares for purposes of Section 16 or for any other purpose. These shares were inadvertently omitted from Form 4s filed by the reporting person on July 1, 2014, May 29, 2015 and June 25, 2015.
- F3Reflects the distribution of shares by the Fund to its general and limited partners in the Fund Distribution. As a result of the Fund Distribution, the GP became the direct beneficial owner of 203,536 shares of common stock of the Issuer. Following the Fund Distribution and on the same day, the GP further distributed, on a pro rata basis for no consideration, all 203,536 shares of common stock of the Issuer to its general and limited partners (the "GP Distribution"), including 20,054 shares of common stock distributed to the Reporting Person.
- F4These shares are owned directly by the GP. Although the Reporting Person has no voting or dispositive power over these shares, by virtue of his interest in the GP, he may be deemed to have indirect beneficial ownership of these shares. The Reporting Person expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares on this Form shall not be deemed an admission of beneficial ownership of these shares for purposes of Section 16 or for any other purpose.
- F5Includes restricted stock award which vests as to 3,485 shares on June 24, 2016.