SEC Form 4 · accession 0001209191-17-060842
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Salerno
Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 15, 2017 · 2:56 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 | Nov 14, 2017 | M | 62,000 | $2.15 | A | 215,947 | D | |
| Common StockF1 | Nov 14, 2017 | F | 11,976 | $11.13 | D | 203,971 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.15 | Nov 14, 2017 | M | 62,000 | D | — | Aug 24, 2018 | Common Stock | 62,000 | 122,426 | D |
Explanation of responses
- F1Includes restricted stock award which vests as to 10,214 shares on June 20, 2018.
- F2Exercisable as to 61,476 shares on August 25, 2009 and 61,475 shares on each of August 25, 2010 and 2011.