0001664272-23-000026.txt : 20230127 0001664272-23-000026.hdr.sgml : 20230127 20230127164856 ACCESSION NUMBER: 0001664272-23-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230125 FILED AS OF DATE: 20230127 DATE AS OF CHANGE: 20230127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frankenthaler Marci CENTRAL INDEX KEY: 0001772446 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 23563907 MAIL ADDRESS: STREET 1: 250 WEST 34TH STREET, 3RD FLOOR STREET 2: C/O WISDOMTREE, INC. CITY: NEW YORK STATE: NY ZIP: 10119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WisdomTree, 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: 250 WEST 34TH STREET STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 BUSINESS PHONE: 212-801-2080 MAIL ADDRESS: STREET 1: 250 WEST 34TH STREET STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 FORMER COMPANY: FORMER CONFORMED NAME: WisdomTree Investments, Inc. DATE OF NAME CHANGE: 20090401 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 4 1 f4_a1e2k00000rxpvduad-live.xml PRIMARY DOCUMENT X0306 4 2023-01-25 false 0000880631 WisdomTree, Inc. WT 0001772446 Frankenthaler Marci C/O WISDOMTREE, INC. 250 WEST 34TH STREET, 3RD FLOOR NEW YORK NY 10119 false true false false Chief Legal Officer Common Stock 2023-01-25 4 F false 13082.0000 0.0000 D 172510.0000 D Common Stock 2023-01-25 4 A false 73660.0000 0.0000 A 185592.0000 D Performance Based Restricted Stock Units 2023-01-25 4 A false 24553.0000 0.0000 A Common Stock 24553.0000 24553.0000 D Restricted stock awarded by Issuer on January 25, 2023 and vesting as to (i) 24,553 shares on each of January 25, 2024 and January 25, 2025 and (ii) 24,554 shares on January 25, 2026. Includes restricted stock awards vesting as to (i) 49,224 shares on January 25, 2024, (ii) 38,472 shares on January 25, 2025 and (iii) 24,554 shares on January 25, 2026. Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests. These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2026. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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. /s/ Marci Frankenthaler 2023-01-27