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WisdomTree, Inc. — Director's Dealing 2012
Dec 21, 2012
31681_dirs_2012-12-21_ce1eef32-71f1-4ced-928d-db5d63908755.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: 2012-12-19
Reporting Person: Lavine Bruce I (Director, Vice Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-19 | Common Stock | F | 5041 | $0.00 | Disposed | 507923 | Direct |
| 2012-12-19 | Common Stock | G | 150000 | $0.00 | Disposed | 244686 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-19 | Common Stock | $0.70 | M | 150000 | Disposed | 2019-01-25 | Common Stock (150000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 657923 | Direct |
Footnotes
F1: Surrender of common stock to issuer upon vesting of restricted stock award to cover withholding taxes.
F2: Includes restricted stock award vesting as to 150,000 shares on each of February 16, 2013 and 2014.
F3: Exercisable as to 150,000 shares on each of January 26, 2011, 2012, 2013 and July 31, 2015.
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