0001193125-16-457686.txt : 20160210 0001193125-16-457686.hdr.sgml : 20160210 20160210165136 ACCESSION NUMBER: 0001193125-16-457686 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160210 DATE AS OF CHANGE: 20160210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WisdomTree Investments, Inc. CENTRAL INDEX KEY: 0000880631 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133487784 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41859 FILM NUMBER: 161406383 BUSINESS ADDRESS: STREET 1: 245 PARK AVENUE STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10167 BUSINESS PHONE: 212-801-2080 MAIL ADDRESS: STREET 1: 245 PARK AVENUE STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10167 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: STEINHARDT MICHAEL H CENTRAL INDEX KEY: 0000315246 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-371-7300 MAIL ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 d128590dsc13ga.htm AMENDMENT NO. 4 TO SCHEDULE 13G Amendment No. 4 to Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 4)*

 

 

WisdomTree Investments, Inc.

(Name of Issuer)

COMMON STOCK, $0.01 PAR VALUE PER SHARE

(Title of Class of Securities)

97717P104

(CUSIP Number)

December 31, 2015

(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).

 

 

 


  1.   

NAMES OF REPORTING PERSONS

 

Michael Steinhardt

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY EACH

REPORTING

PERSON

WITH

     5.    

  SOLE VOTING POWER

 

  11,826,214

     6.    

  SHARED VOTING POWER

 

  0

     7.    

  SOLE DISPOSITIVE POWER

 

  11,826,214

     8.    

  SHARED DISPOSITIVE POWER

 

  0

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

11,826,214

10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

8.54%

12.  

TYPE OF REPORTING PERSON

 

IN

 

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Item 1.    Issuer
   (a)       Name of Issuer: WisdomTree Investments, Inc. (the “Issuer”)
   (b)       Address of Issuer’s Principal Executive Offices:
         245 Park Avenue, 35th Floor
         New York, New York 10167
Item 2.    Filing Person
   (a)       Name of Persons Filing: Michael Steinhardt
   (b)       Address of Principal Business Office or, if None, Residence:
         712 Fifth Avenue, 34th Floor, New York, NY 10019
   (c)       Citizenship: United States
   (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);

 

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   (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:             
Item 4.    Ownership.
      (a)    Amount beneficially owned: shares of common stock 11,826,214*
      (b)    Percent of class: 8.54%
      (c)    Number of shares as to which such person has:
         (i) Sole power to vote or to direct the vote: 11,826,214
         (ii) Shared power to vote or to direct the vote: 0
         (iii) Sole power to dispose or to direct the disposition: 11,826,214
         (iv) Shared power to dispose or to direct the disposition of: 0
      * As of December 31, 2015, the 11,826,214 shares of common stock beneficially owned by Mr. Steinhardt included 3,485 shares of restricted stock over which Mr. Steinhardt exercises sole voting power, but which are not transferable by him until such shares have vested (these shares vest on June 24, 2016).
      The percent of class was calculated based on 138,414,990 shares of common stock issued and outstanding as of December 31, 2015.
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.

 

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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 10, 2016

 

By:  

/s/ Michael Steinhardt

  Michael Steinhardt

 

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