0001209191-21-003923.txt : 20210115 0001209191-21-003923.hdr.sgml : 20210115 20210115204522 ACCESSION NUMBER: 0001209191-21-003923 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210115 FILED AS OF DATE: 20210115 DATE AS OF CHANGE: 20210115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Muni Amit CENTRAL INDEX KEY: 0001326907 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 21533575 MAIL ADDRESS: STREET 1: WISDOMTREE INVESTMENTS, INC. STREET 2: 245 PARK AVENUE, 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10167 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 2021-01-15 0 0000880631 WisdomTree Investments, Inc. WETF 0001326907 Muni Amit C/O WISDOMTREE INVESTMENTS, INC. 245 PARK AVENUE, 35TH FLOOR NEW YORK NY 10167 0 1 0 0 Chief Financial Officer Common Stock 2021-01-15 4 M 0 75000 5.05 A 743987 D Common Stock 2021-01-15 4 S 0 75000 5.3279 D 668987 D Stock Option (right to buy) 5.05 2021-01-15 4 M 0 75000 5.05 D 2021-01-26 Common Stock 75000 0 D Includes restricted stock awards which vest as to (i) 53,572 shares on January 25, 2021, (ii) 41,151 shares on January 25, 2022 and (iii) 11,868 shares on January 25, 2023. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on December 15, 2020. Accordingly, the reporting person had no discretion with regard to the timing of the transaction. All sales by the reporting person are subject to the Issuer's equity ownership requirements. The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $5.27 to $5.45, 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 (3) of this Form 4. Exercisable as to 37,500 shares on each of January 27, 2014, 2015, 2016 and 2017. /s/ Marci Frankenthaler, Attorney-in-Fact 2021-01-15