WisdomTree, Inc. — Director's Dealing 2020

Aug 19, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: WisdomTree Investments, Inc. (WETF)
CIK: 0000880631
Period of Report: 2020-08-11

Reporting Person: ETFS Capital Limited. (10% Owner)
Reporting Person: Tuckwell Graham (Chairman, 10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	15250000	Direct

Footnotes

F1: The shares of Common Stock are directly beneficially owned by ETFS Capital Limited ("ETFS"). Graham Tuckwell is the controlling shareholder of ETFS. As the controlling shareholder of ETFS, Mr. Tuckwell may be deemed an indirect beneficial owner of the shares of Common Stock directly owned by ETFS. Mr. Tuckwell and ETFS are each a "Reporting Person," and collectively are the "Reporting Persons." This report is being filed jointly by the Reporting Persons. Each Reporting Person disclaims beneficial ownership of the Common Stock of the Issuer reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F2: In addition to the shares of Common Stock reported herein, ETFS directly owns, and Mr. Tuckwell indirectly beneficially owns, 14,750 shares of the issuer's Series A Non-Voting Convertible Preferred Stock, which are convertible immediately into 14,750,000 shares of Common Stock at the holder's option. The Certificate of Designations for the Series A Non-Voting Convertible Preferred Stock (the "Preferred Stock") restricts the Reporting Persons from converting such stock into Common Stock if the Reporting Persons would beneficially own more than 9.99% of the Issuer's outstanding Common Stock after giving effect to such conversion, and renders any conversions over the cap void ab initio (the "Conversion Cap").

F3: As a result of the Conversion Cap, each Reporting Person disclaims beneficial ownership of the Preferred Stock, except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of the Preferred Stock or the underlying Common Stock into which it is convertible for any purpose.