WisdomTree, Inc. — Regulatory Filings 2016

Jun 22, 2016

8-K 1 d386857d8k.htm FORM 8-K Form 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Form 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 20, 2016

WisdomTree Investments, Inc.

(Exact name of registrant as specified in its charter)

Commission File Number: 001-10932

Delaware	13-3487784
(State or other jurisdiction of incorporation)	(IRS Employer Identification No.)

245 Park Avenue

35th Floor

New York, NY 10167

(Address of principal executive offices, including zip code)

(212) 801-2080

(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 5.07. Submission of Matters to a Vote of Security Holders.

On June 20, 2016, WisdomTree Investments, Inc. (“Company”) held its 2016 Annual Meeting of Stockholders. A total of 122,718,420 shares of the Company’s common stock were present or represented by proxy at the Annual Meeting, representing approximately 90% of the total outstanding common stock. At the Annual Meeting, the stockholders voted on the following three proposals and cast their votes as described below.

1. The Company’s stockholders re-elected the following two nominees as Class II members to the Board of Directors of the Company to hold office until the 2019 annual meeting of stockholders and until their respective successors have been duly elected and qualified.

NAME — STEVEN BEGLEITER	103,245,301	97.71 %	2,424,071	17,049,048
WIN NEUGER	102,903,494	97.38 %	2,765,878	17,049,048

1. The Company’s stockholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016.

FOR	% VOTED FOR	AGAINST	ABSTAIN
122,231,715	99.6%	268,405	218,300

1. The Company’s stockholders approved the Company’s 2016 Equity Plan.

FOR	% VOTED FOR	AGAINST	ABSTAIN	BROKER NON-VOTES
100,954,978	95.53%	3,062,585	1,651,809	17,049,048

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

/s/ Amit Muni
Amit Muni
Chief Financial Officer

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