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WisdomTree, Inc. — Director's Dealing 2015
Mar 11, 2015
31681_dirs_2015-03-11_e1333dbb-bc1a-43e6-823d-c8f58b50f10a.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: 2015-03-09
Reporting Person: Steinberg Jonathan L (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-03-09 | Common Stock | M | 437500 | $0.70 | Acquired | 6122470 | Direct |
| 2015-03-09 | Common Stock | S | 262500 | $20.5648 | Disposed | 5859970 | Direct |
| 2015-03-10 | Common Stock | M | 437500 | $0.70 | Acquired | 6297470 | Direct |
| 2015-03-10 | Common Stock | S | 262500 | $20.5984 | Disposed | 6034970 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-03-09 | Stock Option (right to buy) | $0.70 | M | 437500 | Disposed | 2019-01-25 | Common Stock (437500) | Direct |
| 2015-03-10 | Stock Option (right to buy) | $0.70 | M | 437500 | Disposed | 2019-01-25 | Common Stock (437500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 798 | Indirect |
Footnotes
F1: Includes restricted stock awards which vest as to (i) 75,421 shares on January 22, 2016, (ii) 37,538 shares on January 28, 2016, (iii) 51,772 shares on each of January 14, 2016 and 2017, (iv) 37,539 shares on January 28, 2017 and (v) 37,550 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 $20.29 to $20.882, 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: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $20.175 to $20.7883, 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) of this Form 4.
F4: Exercisable as to 437,500 shares on each of January 26, 2010, 2011, 2012 and 2013.