SEC Form 4 · accession 0001209191-18-011216
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
Feb 16, 2018
Accepted (ET)
Feb 20, 2018 · 2:49 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 StockF2,F3 | Feb 16, 2018 | S | 81,663 | $10.1492 | D | 7,392,687 | D | |
| Common Stock | holding | — | — | — | 798 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on August 16, 2017. Accordingly, the reporting person had no discretion with regard to the timing of the transaction. All sales by the reporting person are subject to the Issuer's equity ownership requirements.
- F2The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $9.7150 to $10.50, 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 sold at each separate price within the range set forth in footnote (2) of this Form 4.
- F3Includes restricted stock awards which vest as to (i) 38,220 shares on each of January 25, 2019, 2020 and 2021 and (ii) 147,290 shares on January 27, 2019.