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WisdomTree, Inc. — Director's Dealing 2014
Nov 10, 2014
31681_dirs_2014-11-10_55c128b5-8dc4-4e1c-997e-ef3c49fe93b9.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: 2014-11-06
Reporting Person: Steinberg Jonathan L (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-06 | Common Stock | M | 417500 | $0.16 | Acquired | 5717806 | Direct |
| 2014-11-06 | Common Stock | S | 250500 | $15.5333 | Disposed | 5467306 | Direct |
| 2014-11-07 | Common Stock | M | 417500 | $0.16 | Acquired | 5884806 | Direct |
| 2014-11-07 | Common Stock | S | 250500 | $15.6151 | Disposed | 5634306 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-06 | Stock Option (right to buy) | $0.16 | M | 417500 | Disposed | 2014-11-09 | Common Stock (417500) | Direct |
| 2014-11-07 | Stock Option (right to buy) | $0.16 | M | 417500 | Disposed | 2014-11-09 | Common Stock (417500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 798 | Indirect |
Footnotes
F1: The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.26 to $15.73, 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 (1) to this Form 4.
F2: The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.32 to $15.79, 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.
F3: Exercisable as to 417,500 shares on each of November 10, 2004 and 2005.