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WisdomTree, Inc. — Director's Dealing 2012
May 31, 2012
31681_dirs_2012-05-31_5ba15756-f0a1-4f4e-aa75-b690b4684b15.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: WisdomTree Investments, Inc. (WETF)
CIK: 0000880631
Period of Report: 2012-05-30
Reporting Person: Siracusano Luciano III (Chief Investment Strategist)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-30 | Common Stock | S | 83306 | $6.49 | Disposed | 276554 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-30 | Stock Option (right to buy) | $0.07 | M | 2143 | Disposed | 2012-11-05 | Common Stock (2143) | Direct |
| 2012-05-30 | Stock Option (right to buy) | $0.10 | M | 81163 | Disposed | 2013-07-29 | Common Stock (81163) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 359860 | Direct |
Footnotes
F1: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.43 to $6.56, 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 (1) to this Form 4.
F2: Includes (i) restricted stock award which vests as to 75,000 shares on each of January 25, 2013 and 2014, and (ii) restricted stock award which vests as to 17,276 shares on January 25, 2013.
F3: Exercisable as to 56,163 shares on July 30, 2006 and as to 100,000 shares on July 30, 2007.