0001209191-19-005789.txt : 20190129 0001209191-19-005789.hdr.sgml : 20190129 20190129171100 ACCESSION NUMBER: 0001209191-19-005789 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190125 FILED AS OF DATE: 20190129 DATE AS OF CHANGE: 20190129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Steinberg Jonathan L CENTRAL INDEX KEY: 0000934992 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 19549476 MAIL ADDRESS: STREET 1: WISDOMTREE INVESTMENTS, INC. STREET 2: 245 PARK AVENUE, 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10167 FORMER NAME: FORMER CONFORMED NAME: STEINBERG JONATHAN L DATE OF NAME CHANGE: 19950106 ISSUER: 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-01-25 0 0000880631 WisdomTree Investments, Inc. WETF 0000934992 Steinberg Jonathan L C/O WISDOMTREE INVESTMENTS, INC. 245 PARK AVENUE, 35TH FLOOR NEW YORK NY 10167 1 1 0 0 Chief Executive Officer Common Stock 2019-01-25 4 A 0 448598 0.00 A 7841285 D Common Stock 2019-01-25 4 F 0 15422 0.00 D 7825863 D Common Stock 2019-01-27 4 F 0 60756 0.00 D 7765107 D Common Stock 798 I By Spouse Performance Based Restricted Stock Units 0.00 2019-01-25 4 A 0 112149 0.00 A 2022-01-25 Common Stock 112149 112149 D Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 149,532 shares on each of January 25, 2020 and 2021 and (ii) 149,534 shares on January 25, 2022. Includes restricted stock awards which vest as to (i) 147,290 shares on January 27, 2019, (ii) 187,752 shares on each of January 25, 2020 and 2021 and (iii) 149,534 shares on January 25, 2022. Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. Includes restricted stock awards which vest as to (i) 187,752 shares on each of January 25, 2020 and 2021 and (ii) 149,534 shares on January 25, 2022. On the third anniversary of the grant date, the Performance-Based Restricted Stock Units ("PRSUs") will vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued pursuant to the PRSUs will be determined based on the total shareholder return ("TSR") of the Common Stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a three-year period from the date of grant of the PRSUs. The number of shares of Common Stock to be issued upon vesting of the PRSUs will range between 0% to 200% of the number of shares indicated above (the target share amount). (Continuation of Footnote 5) - If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the third anniversary of the grant date, all or a portion of the PRSUs will vest and the number of shares of Common Stock to be issued pursuant to the PRSUs will be determined at such time, based on the respective TSRs of the Common Stock and the stocks of the peer group, each measured from the grant date to the accelerated vesting date. PRSUs have no voting rights and are generally non-transferable. /s/ Marci Frankenthaler, Attorney-in-Fact 2019-01-29