AI assistant
WisdomTree, Inc. — Director's Dealing 2013
Jun 11, 2013
31681_dirs_2013-06-11_25222cf0-0d15-4ba4-b0e0-0fe262ff7c50.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: WisdomTree Investments, Inc. (WETF)
CIK: 0000880631
Period of Report: 2013-06-10
Reporting Person: Siracusano Luciano III (Chief Investment Strategist)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-10 | Common Stock | M | 90000 | $0.16 | Acquired | 404503 | Direct |
| 2013-06-10 | Common Stock | S | 90000 | $12.28 | Disposed | 314503 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-10 | Stock Option (right to buy) | $0.16 | M | 90000 | Disposed | 2014-11-09 | Common Stock (90000) | Direct |
Footnotes
F1: Exercisable as to 67,390 shares on November 10, 2005 and 2007 and exercisable as to an additional 67,391 shares on each of November 10, 2006, 2008 and 2009.
F2: Includes (i) restricted stock award which vests as to 42,145 shares on January 22, 2014 and as to 21,073 shares on each of January 22, 2015 and 2016, and (ii) restricted stock award which vests as to 75,000 shares on January 25, 2014.
F3: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $12.21 to $12.37, 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 (3) to this Form 4.