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WisdomTree, Inc. — Director's Dealing 2011
Jul 22, 2011
31681_dirs_2011-07-22_c94245b0-4bf2-422d-b5d0-d53da0ed6750.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: STEINBERG JONATHAN L (Director, Chief Executive Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3693137 | Direct |
| Common Stock | 16889 | Direct |
| Common Stock | 798 | Indirect |
| Common Stock | 18191 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.05 | 2012-04-02 | common stock (3604292) | Direct | |
| Stock Option (right to buy) | $0.03 | 2014-03-16 | common stock (3000000) | Direct | |
| Stock Option (right to buy) | $0.016 | 2014-11-09 | common stock (835000) | Direct | |
| Stock Option (right to buy) | $0.70 | 2019-01-25 | common stock (1750000) | Direct |
Footnotes
F1: Restricted stock award vesting on January 27,2012.
F2: Exercisable in bimonthly installments of approximately equal amounts from April 30, 2002 through December 31, 2002.
F3: Exercisable as to 300,000 shares each on March 17, 2005, 2006, 2007, 2008 and 2009 and as to 1,500,000 additional shares at such time as the issuer has achieved at least $1.00 in net income in two consecutive fiscal quarters.
F4: Exercisable as to 437,500 shares on each of January 26, 2010, 2011, 2012 and 2013.
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