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WisdomTree, Inc. — Director's Dealing 2013
Aug 2, 2013
31681_dirs_2013-08-02_17a1aab1-d5c0-4223-9153-1e725fdb889c.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: 2013-08-01
Reporting Person: Begleiter Steven L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-01 | Common Stock | S | 22500 | $13.15 | Disposed | 103625 | Direct |
| 2013-08-02 | Common Stock | S | 22500 | $13.05 | Disposed | 80625 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3996000 | Indirect |
| Common Stock | 518637 | Indirect |
Footnotes
F1: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $12.96 to $13.29, 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 (1) and (3) to this Form 4.
F2: Includes 6,144 shares of restricted stock awarded on July 24, 2013, vesting on July 24, 2014.
F3: The price in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $12.92 to $13.19, inclusive.
F4: These shares are owned directly by Flexpoint Fund, L.P. (the "Fund"). Flexpoint Management, L.P. (the "GP") is the general partner of the Fund. Although the reporting person has no voting or dispositive power over these shares, by virtue of his interest in the GP, he may be deemed to have an indirect beneficial ownership of these shares. The reporting person expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of these shares for purposes of Section 16 or for any other purpose.
F5: These shares are owned directly by the GP. Although the reporting person has no voting or dispositive power over these shares, by virtue of his interest in the GP, he may be deemed to have indirect beneficial ownership of these shares. The reporting person expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of these shares for purposes of Section 16 or for any other purpose.