SEC Form 4 · accession 0001209191-18-051342
WisdomTree, Inc. · WT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luciano Siracusano III
Officer — Chief Investment Strategist
Period of report
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 11:00 am 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 | Sep 14, 2018 | M | 25,000 | $0.70 | A | 497,041 | 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 | $0.70 | Sep 14, 2018 | M | 25,000 | D | — | Jan 25, 2019 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Includes restricted stock awards which vest as to (i) 52,237 shares on January 27, 2019, (ii) 14,913 shares on each of January 25, 2019 and 2020 and (v) 11,466 shares on January 25, 2021.
- F2Exercisable as to 50,000 shares on each of January 26, 2010, 2011, 2012 and 2013.