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WisdomTree, Inc. — Director's Dealing 2015
May 8, 2015
31681_dirs_2015-05-08_df1e3a86-b4aa-4b79-8951-82f390dd1412.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: 2015-05-07
Reporting Person: Ziemba Peter M (Chief Legal Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-07 | Common Stock | M | 250000 | $1.07 | Acquired | 914907 | Direct |
| 2015-05-07 | Common Stock | M | 100000 | $2.25 | Acquired | 1014907 | Direct |
| 2015-05-07 | Common Stock | S | 194608 | $19.388 | Disposed | 820299 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-07 | Stock Option (right to buy) | $1.07 | M | 250000 | Disposed | 2017-04-22 | Common Stock (250000) | Direct |
| 2015-05-07 | Stock Option (right to buy) | $2.25 | M | 100000 | Disposed | 2020-01-27 | Common Stock (100000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15300 | Indirect |
Footnotes
F1: Includes restricted stock awards which vest as to (i) 10,055 shares on January 14, 2016, (ii) 14,166 shares on January 22, 2016, (iii) 37,500 shares on January 25, 2016, (iv) 14,067 shares on January 28, 2016, (v) 10,057 shares on January 14, 2017, (vi) 14,068 shares on January 28, 2017 and (vii) 14,072 shares on January 28, 2018.
F2: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $19.07 to $19.66, 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) of this Form 4.
F3: Exercisable (at an exercise price of $6.35 per share) as to 200,000 shares vesting on each of April 27, 2008, 2009, 2010 and 2011. Modified on January 26, 2009 to also become exercisable (at an exercise price of $1.07 per share) as to 200,000 shares on each of January 27, 2010, 2011, 2012 and 2013.