SEC Form 4/A · accession 0001209191-17-006380
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Peter M Ziemba
Officer — Chief Legal Officer
Period of report
Jan 27, 2017
Accepted (ET)
Jan 31, 2017 · 4:28 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, 2017 | F | 11,029 | $0.00 | D | 869,305 | D | |
| Common StockF1,F3 | Jan 28, 2017 | F | 5,201 | $0.00 | D | 864,104 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
- F2Includes restricted stock awards which vest as to (i) 14,068 shares on January 28, 2017, (ii) 14,072 shares on January 28, 2018, (iii) 29,976 shares on January 27, 2018, (iv) 29,977 shares on January 27, 2019, (v) 3,847 shares on each of January 25, 2018 and 2019 and (vi) 3,848 shares on January 25, 2020.
- F3Includes restricted stock awards which vest as to (i) 14,072 shares on January 28, 2018, (ii) 29,976 shares on January 27, 2018, (iii) 29,977 shares on January 27, 2019, (iv) 3,847 shares on each of January 25, 2018 and 2019 and (v) 3,848 shares on January 25, 2020.
Remarks
This amendment is being filed to correct (i) the number of shares of common stock surrendered to Issuer reflected in Column 4 for the transaction which occurred on 1/28/2017, and (ii) the number of shares of common stock beneficially owned following such reported transaction in Column 5.