0001181431-13-045815.txt : 20130821 0001181431-13-045815.hdr.sgml : 20130821 20130821111237 ACCESSION NUMBER: 0001181431-13-045815 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130819 FILED AS OF DATE: 20130821 DATE AS OF CHANGE: 20130821 ISSUER: 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 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 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: 131052166 MAIL ADDRESS: STREET 1: WISDOMTREE INVESTMENTS, INC. STREET 2: 380 MADISON AVENUE, 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: STEINBERG JONATHAN L DATE OF NAME CHANGE: 19950106 4 1 rrd388664.xml STEINBERG AUG 19 EXERCISE X0306 4 2013-08-19 0 0000880631 WisdomTree Investments, Inc. WETF 0000934992 Steinberg Jonathan L 380 MADISON AVENUE 21ST FLOOR NEW YORK NY 10017 1 1 0 0 Chief Executive Officer Common Stock 2013-08-19 4 M 0 187500 0.03 A 4396451 D Common Stock 2013-08-19 4 S 0 37500 12.08 D 4358951 D Common Stock 2013-08-20 4 S 0 75000 11.79 D 4283951 D Common Stock 798 I Owned by Spouse Stock Option (right to buy) 0.03 2013-08-19 4 M 0 187500 0.00 D 2014-03-16 Common Stock 187500 2812500 D Exercisable as to 300,000 shares each on March 17, 2005, 2006, 2007, 2008 and 2009 and as to 1,500,000 additional shares at such time as the issuer has achieved at least $1.00 in net income in two consecutive fiscal quarters. Includes restricted stock vesting as to 150,841 shares on January 22, 2014 and as to 75,421 shares on each of January 22, 2015 and 2016. The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $11.90 to $12.26, inclusive. The reporting person undertakes to provide to WisdomTree Investments, Inc., any security holder of WisdomTree Investments, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (3) and (4) to this Form 4. The price in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $11.73 to $11.87, inclusive. /s/ Sarah English, Attorney-in-Fact 2013-08-21