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WisdomTree, Inc. — Director's Dealing 2014
Mar 4, 2014
31681_dirs_2014-03-04_b494a28d-1fea-4d9a-9e3a-650349248a29.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: 2014-03-03
Reporting Person: Steinberg Jonathan L (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-03 | Common Stock | M | 187500 | $0.03 | Acquired | 5525306 | Direct |
| 2014-03-03 | Common Stock | S | 37500 | $15.01 | Disposed | 5300306 | Direct |
| 2014-03-04 | Common Stock | S | 75000 | $15.53 | Disposed | 5225306 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-03 | Stock Option (right to buy) | $0.03 | M | 187500 | Disposed | 2014-03-16 | Common Stock (187500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 798 | Indirect |
Footnotes
F1: Exercisable as to 300,000 shares on each of March 17, 2005, 2006, 2007, 2008, 2009 and as to 1,500,000 additional shares at such time as the issuer has achieved at least $1.00 in net income in two consequtive fiscal quarters.
F2: The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.03, 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: e price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $15.50 to $15.65, 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.