WisdomTree, Inc. — Regulatory Filings 2021

Jun 21, 2021

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 17, 2021

WisdomTree Investments, Inc.

(Exact name of registrant as specified in its charter)

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))

Securities registered pursuant to Section 12(b) of the Exchange Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common Stock , $0.01 par value	WETF	The NASDAQ Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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

On June 17, 2021, the Company held its 2021 Annual Meeting of Stockholders. A total of 105,033,308 shares of the Company’s common stock were present or represented by proxy at the Annual Meeting, representing approximately 70% 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 elected the following three nominees as Class I members to the Board of Directors of the Company to hold office until the 2024 annual meeting of stockholders and until their respective successors have been duly elected and qualified.

NAME — ANTHONY BOSSONE	92,997,866	93.49	6,475,328	60,623	5,499,491
SMITA CONJEEVARAM	98,676,127	99.19	799,444	58,246	5,499,491
BRUCE LAVINE	89,844,307	90.36	9,574,789	114,721	5,499,491

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, 2021.

FOR	% VOTED FOR	AGAINST	ABSTAIN
104,689,663	99.81	195,075	148,570

1. The Company’s stockholders approved a non-binding, advisory resolution on the compensation of the Company’s named executive officers.

FOR	% VOTED FOR	AGAINST	ABSTAIN	BROKER NON-VOTES
78,750,263	79.21	20,667,480	116,074	5,499,491

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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/ Marci Frankenthaler
Marci Frankenthaler
Chief Legal Officer

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