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WisdomTree, Inc. — Director's Dealing 2012
Aug 21, 2012
31681_dirs_2012-08-21_d3e5c07f-4d7b-4d07-860b-0653ba471567.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: 2012-08-20
Reporting Person: Ziemba Peter M (Chief Legal Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-08-20 | Common Stock | M | 100000 | $1.07 | Acquired | 728242 | Direct |
| 2012-08-20 | Common Stock | S | 25000 | $6.72 | Disposed | 703242 | Direct |
| 2012-08-21 | Common Stock | S | 75000 | $6.73 | Disposed | 628242 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-08-20 | Stock Option (right to buy) | $1.07 | M | 100000 | Disposed | 2017-04-22 | Common Stock (100000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9600 | Indirect |
| Common Stock | 4500 | Indirect |
Footnotes
F1: Exercisable (at an exercise price of $6.35 per share) as to 200,000 share on each of April 27, 2008, 2009, 2010, and 2011. Modified on January 26, 2009 to also become exercisable (at an exercise price of $1.07 per share) as to 200,000 shares on each of January 27, 2010, 2011, 2012 and 2013.
F2: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.66 to $6.81, 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 (2) and (6) to this Form 4.
F3: Includes (i) restricted stock award which vests as to 37,500 shares on each of January 25, 2013, 2014, 2015 and 2016, (ii) restricted stock award which vests as to 6,351 shares on January 25, 2013, and (iii) restricted stock award which vest as to 25,000 shares on each of January 27, 2013, 2014 and 2015.
F4: The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F5: See Note 4.
F6: The price in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $6.70 to $6.77, inclusive.