0001193125-12-056435.txt : 20120213 0001193125-12-056435.hdr.sgml : 20120213 20120213164129 ACCESSION NUMBER: 0001193125-12-056435 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WisdomTree Investments, Inc. CENTRAL INDEX KEY: 0000880631 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 133487784 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-41859 FILM NUMBER: 12599722 BUSINESS ADDRESS: STREET 1: 380 MADISON AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-801-2080 MAIL ADDRESS: STREET 1: 380 MADISON AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INDEX DEVELOPMENT PARTNERS INC DATE OF NAME CHANGE: 20020812 FORMER COMPANY: FORMER CONFORMED NAME: FINANCIAL DATA SYSTEMS DATE OF NAME CHANGE: 19951120 FORMER COMPANY: FORMER CONFORMED NAME: INDIVIDUAL INVESTOR GROUP INC DATE OF NAME CHANGE: 19951120 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RRE Ventures III-A, LP CENTRAL INDEX KEY: 0001526126 IRS NUMBER: 061622596 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 130 EAST 59TH STREET STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-418-5100 MAIL ADDRESS: STREET 1: 130 EAST 59TH STREET STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 d299831dsc13g.htm SCHEDULE 13G Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No.     )*

 

 

WisdomTree Investments, Inc.

(Name of Issuer)

 

 

COMMON STOCK, $0.01 PAR VALUE PER SHARE

(Title of Class of Securities)

97717P104

(CUSIP Number)

December 31, 2011

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

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  1.   

NAMES OF REPORTING PERSONS

 

RRE Ventures III-A, L.P.

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON

WITH

   5.    

SOLE VOTING POWER

 

    -0-

   6.   

SHARED VOTING POWER

 

    17,894,007

   7.   

SOLE DISPOSITIVE POWER

 

    -0-

   8.   

SHARED DISPOSITIVE POWER

 

    17,894,007

  9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    17,894,007

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES    ¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

    15.3%1

12.

 

TYPE OF REPORTING PERSON

 

    PN

 

1 The percent of class was calculated based on 116,703,278 shares of common stock issued and outstanding as of December 31, 2011, as disclosed in WisdomTree Investment, Inc.’s Prospectus filed with the Securities and Exchange Commission on February 3, 2012.

 

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Item 1.      Issuer      
 

(a)

   Name of Issuer:      
     WisdomTree Investments, Inc.      
 

(b)

   Address of Issuer’s Principal Executive Offices:      
    

380 Madison Avenue, 21st Floor

New York, New York 10017

     
Item 2.      Filing Person      
 

(a)

   Name of Persons Filing:      
     RRE Ventures III-A, L.P.      
 

(b)

   Address of Principal Business Office or, if None, Residence:      
    

130 East 59th Street, 17th Floor

New York, New York 10022

     
 

(c)

   Citizenship:      
     Delaware      
 

(d)

   Title of Class of Securities:      
     Common stock, $0.01 par value per share      
 

(e)

   CUSIP Number:      
     97717P104      
Item 3.   If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
  (a)    ¨    Broker or dealer registered under Section 15 of the Act;
  (b)    ¨    Bank as defined in Section 3(a)(6) of the Act;
  (c)    ¨    Insurance company as defined in Section 3(a)(19) of the Act;
  (d)    ¨    Investment company registered under Section 8 of the Investment Company Act of 1940;
  (e)    ¨    An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
  (f)    ¨    An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
  (g)    ¨    A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
  (h)    ¨    A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i)    ¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
  (j)    ¨    A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
  (k)    ¨    Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:                        
     If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:                                         

 

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Item 4.    Ownership.      
   (a)    Amount beneficially owned:      
      17,894,007 shares of common stock *      
   (b)    Percent of class:      
      15.3%1      
   (c)    Number of shares as to which such person has:      
      (i)    Sole power to vote or to direct the vote:      
         0      
      (ii)    Shared power to vote or to direct the vote:      
         17,894,007 *      
      (iii)    Sole power to dispose or to direct the disposition:      
         0      
      (iv)    Shared power to dispose or to direct the disposition of:      
         17,894,007 *      
  

*       The general partner of RRE Ventures III-A, L.P. is RRE Ventures GP III, LLC. On February 8, 2012, in connection with the Issuer’s public offering, RRE Ventures III-A, L.P. sold 1,770,560 shares as a selling stockholder. As of February 8, 2012, after giving effect to the public offering, RRE Ventures III-A, L.P. beneficially owned 16,123,447 shares of the Issuer’s common stock.

  

1         The percent of class was calculated based on 116,703,278 shares of common stock issued and outstanding as of December 31, 2011, as disclosed in the Issuer’s Prospectus filed with the Securities and Exchange Commission on February 3, 2012.

Item 5.    Ownership of Five Percent or Less of a Class.   
   Not applicable.   
Item 6.    Ownership of More than Five Percent on Behalf of Another Person.      
   Not applicable.      
Item 7.    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
   Not applicable.
Item 8.    Identification and Classification of Members of the Group.      
   Not applicable.      
Item 9.    Notice of Dissolution of Group.      
   Not applicable.      
Item 10.    Certification.      
   Not applicable.      

 

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SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 13, 2012

 

RRE VENTURES III-A, L.P.
By:   RRE VENTURES GP III, LLC,
  General Partner
By:  

/s/ Andrew Zalasin

  Name: Andrew Zalasin
  Title: General Partner

 

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