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WisdomTree, Inc. — Director's Dealing 2018
Feb 22, 2018
31681_dirs_2018-02-22_ec793327-e816-41c8-816b-df523642d723.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: 2018-02-20
Reporting Person: Abner David J. (Head of WisdomTree Europe)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-20 | Common Stock | M | 37200 | $1.07 | Acquired | 179880 | Direct |
| 2018-02-20 | Common Stock | S | 12200 | $10.4821 | Disposed | 167680 | Direct |
| 2018-02-21 | Common Stock | M | 12800 | $1.07 | Acquired | 180480 | Direct |
| 2018-02-21 | Common Stock | S | 12800 | $10.5474 | Disposed | 167680 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-20 | Stock Option (right to buy) | $1.07 | M | 37200 | Disposed | 2018-03-31 | Common Stock (37200) | Direct |
| 2018-02-21 | Stock Option (right to buy) | $1.07 | M | 12800 | Disposed | 2018-03-31 | Common Stock (12800) | Direct |
Footnotes
F1: Includes restricted stock awards which vest as to (i) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021.
F2: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.48 to $10.49, 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 $10.54 to $10.555, 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 37,500 shares on each of January 26, 2010, 2011, 2012 and 2013.