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WisdomTree, Inc. — Director's Dealing 2013
Nov 18, 2013
31681_dirs_2013-11-18_43ad47d0-23f7-494d-ba91-8e2f9fe6e203.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: 2013-11-15
Reporting Person: STEINHARDT MICHAEL H (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-15 | Common Stock | M | 835000 | $0.16 | Acquired | 19814910 | Direct |
| 2013-11-15 | Common Stock | F | 9824 | $13.60 | Disposed | 19805086 | Direct |
| 2013-11-18 | Common Stock | S | 292121 | $13.49 | Disposed | 19512965 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-15 | Stock Option (right to buy) | $0.16 | M | 835000 | Disposed | 2014-11-09 | Common Stock (835000) | Direct |
Footnotes
F1: Includes 6,144 shares of restricted stock awarded on July 24, 2013, vesting on July 24, 2014.
F2: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $13.25 to $13.64, 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 (2) to this Form 4.