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WisdomTree, Inc. — Director's Dealing 2012
Jun 1, 2012
31681_dirs_2012-06-01_9e398315-1ab9-4269-b624-d6bdb977388a.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: Lavine Bruce I (Director, Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-30 | Common Stock | S | 62096 | $6.46 | Disposed | 672650 | Direct |
| 2012-05-31 | Common Stock | S | 65000 | $6.52 | Disposed | 668102 | Direct |
| 2012-06-01 | Common Stock | S | 12343 | $6.57 | Disposed | 655759 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-30 | Stock Option (right to buy) | $0.70 | M | 65000 | Disposed | 2019-01-25 | Common Stock (65000) | Direct |
| 2012-05-31 | Stock Option (right to buy) | $0.70 | M | 60452 | Disposed | 2019-01-25 | Common Stock (60452) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 734746 | Direct |
| Common Stock | 733102 | Direct |
Footnotes
F1: Exercisable as to 150,000 shares on each of January 26, 2011, 2012, 2013 and July 31, 2015.
F2: Includes (i) restricted stock vesting as to 10,797 shares on January 25, 2013, and (ii) restriced stock award vesting as to 150,000 shares on each of July 31, 2013 and 2014.
F3: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.45 to $6.48, 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 footnotes (3), (4) and (5) to this Form 4.
F4: The price in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.49 to $6.53, inclusive.
F5: The price in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.55 to $6.60, inclusive.