0001181431-14-008889.txt : 20140224 0001181431-14-008889.hdr.sgml : 20140224 20140224184516 ACCESSION NUMBER: 0001181431-14-008889 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140224 FILED AS OF DATE: 20140224 DATE AS OF CHANGE: 20140224 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: 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: 14638360 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 rrd403607.xml STEINBERG 2-24-14 EXERCISE AND SALE X0306 4 2014-02-24 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 2014-02-24 4 M 0 187500 0.03 A 5450306 D Common Stock 2014-02-24 4 S 0 112500 14.88 D 5337806 D Common Stock 798 I Owned by Spouse Stock Option (right to buy) 0.03 2014-02-24 4 M 0 187500 0.00 D 2014-03-16 Common Stock 187500 375000 D Exercisable as to 300,000 shares on each of March 17, 2005, 2006, 2007, 2008, 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 consequtive fiscal quarters. The price included in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $14.56 to $15.11, 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 footnote (2) to this Form 4. /s/ Peter M. Ziemba, Attorney-in-Fact 2014-02-24