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WisdomTree, Inc. — Director's Dealing 2011
Jul 22, 2011
31681_dirs_2011-07-22_13e85b6c-2f59-48ae-8272-e47cbdfa4ac2.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: WisdomTree Investments, Inc. (WSDT)
CIK: 0000880631
Period of Report: 2011-07-25
Reporting Person: Siracusano Luciano III (Chief Investment Strategist)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 98245 | Direct |
| Common Stock | 18191 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.07 | 2012-11-05 | common stock (2143) | Direct | |
| Stock Option (right to buy) | $0.10 | 2013-06-29 | common stock (156163) | Direct | |
| Stock Option (right to buy) | $0.03 | 2014-03-16 | common stock (750000) | Direct | |
| Stock Option (right to buy) | $0.16 | 2013-11-09 | common stock (336953) | Direct | |
| Stock Option (right to buy) | $0.70 | 2019-01-25 | common stock (200000) | Direct |
Footnotes
F1: Restricted stock award vesting on Janaury 27, 2012
F2: Exercisable as to 56,163 shares on July 30, 2006 and as to 100,000 shares on July 30, 2007
F3: Exercisable as to 75,000 shares on each of March 17, 2005, 2006, 2007, 2008, and 2009 and exercisable as to an additional 375,000 shares at such time as the issuer achieves at least $1.00 of net income in two consecutive fiscal quarters
F4: Exercisable as to 67,390 shares on each of November 10, 2005 and 2007 and exercisable as to an additional 67,391 shares on each of November 10, 2006, 2008 and 2009
F5: Exercisable as to 50,000 shares on each of Janaury 26, 2010, 2011, 2012 and 2013