SEC Form 4 · accession 0001209191-18-012137
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J. Abner
Officer — Head of WisdomTree Europe
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 7:48 am 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 | Feb 20, 2018 | M | 37,200 | $1.07 | A | 179,880 | D | |
| Common StockF2,F1 | Feb 20, 2018 | S | 12,200 | $10.4821 | D | 167,680 | D | |
| Common StockF1 | Feb 21, 2018 | M | 12,800 | $1.07 | A | 180,480 | D | |
| Common StockF3,F1 | Feb 21, 2018 | S | 12,800 | $10.5474 | D | 167,680 | 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)F4 | $1.07 | Feb 20, 2018 | M | 37,200 | D | Jan 26, 2010 | Mar 31, 2018 | Common Stock | 37,200 | 12,800 | D |
| Stock Option (right to buy)F4 | $1.07 | Feb 21, 2018 | M | 12,800 | D | Jan 26, 2010 | Mar 31, 2018 | Common Stock | 12,800 | 0 | D |
Explanation of responses
- F1Includes restricted stock awards which vest as to (i) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021.
- F2The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.48 to $10.49, 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.
- F3The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.54 to $10.555, 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 (3) of this Form 4.
- F4Exercisable as to 37,500 shares on each of January 26, 2010, 2011, 2012 and 2013.