SEC Form 4 · accession 0001209191-17-020999
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
Mar 14, 2017
Accepted (ET)
Mar 16, 2017 · 12:48 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 StockF1,F2 | Mar 14, 2017 | P | 43,386 | $8.97 | A | 7,408,283 | D | |
| Common StockF3,F2 | Mar 16, 2017 | P | 54,585 | $9.2729 | A | 7,462,868 | D | |
| Common Stock | holding | — | — | — | 798 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $8.93 to $8.99, 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 purchased at each separate price within the range set forth in footnote (1) of this Form 4.
- F2Includes restricted stock awards which vest as to (i) 37,550 shares on January 28, 2018, (ii) 147,291 shares on January 27, 2018 and (iii) 147,290 shares on January 27, 2019.
- F3The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $9.22 to $9.30, 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 purchased at each separate price within the range set forth in footnote (3) of this Form 4.