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WisdomTree, Inc. — Director's Dealing 2012
May 18, 2012
31681_dirs_2012-05-18_ee0f8e0f-d07f-4263-9257-e2d5bb71ffd9.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: 2012-05-16
Reporting Person: Lilien R Jarrett (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-16 | Common Stock | S | 20000 | $7.13 | Disposed | 327297 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-16 | Stock Option (right to buy) | $0.95 | M | 80630 | Acquired | 2018-11-12 | Common Stock (80630) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 40705 | Indirect |
Footnotes
F1: Exercisable as to 1/3 of original grant of 394,736 on each of November 13, 2009, 2010 and 2011.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.04 to $7.21, 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 ranges set forth in this footnote.
F3: Restricted stock awarded on July 27, 2011 and vesting as to 13,568 shares on each of July 27, 2012 and 2013 and as to 13,569 shares on July 27, 2014.