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