SEC Info - Muni Amit - ‘4’ for 1/25/20 re: WisdomTree Investments, Inc.

<?xml version="1.0" encoding="windows-1252"?>

<issuerName> WisdomTree Investments, Inc. </issuerName>

</issuer>

</reportingOwnerId>

<rptOwnerStreet1> C/O WISDOMTREE INVESTMENTS, INC. </rptOwnerStreet1>

<rptOwnerStreet2> 245 PARK AVENUE, 35TH FLOOR </rptOwnerStreet2>

</reportingOwnerAddress>

<officerTitle> Chief Financial Officer </officerTitle>

</reportingOwnerRelationship>

</reportingOwner>

<value> Common Stock </value>

</securityTitle>

</transactionDate>

</transactionCoding>

</transactionTimeliness>

</transactionShares>

</transactionPricePerShare>

</transactionAcquiredDisposedCode>

</transactionAmounts>

</sharesOwnedFollowingTransaction>

</postTransactionAmounts>

</directOrIndirectOwnership>

</ownershipNature>

</nonDerivativeTransaction>

<value> Common Stock </value>

</securityTitle>

</transactionDate>

</transactionCoding>

</transactionTimeliness>

</transactionShares>

</transactionPricePerShare>

</transactionAcquiredDisposedCode>

</transactionAmounts>

</sharesOwnedFollowingTransaction>

</postTransactionAmounts>

</directOrIndirectOwnership>

</ownershipNature>

</nonDerivativeTransaction>

<value> Common Stock </value>

</securityTitle>

</transactionDate>

</transactionCoding>

</transactionTimeliness>

</transactionShares>

</transactionPricePerShare>

</transactionAcquiredDisposedCode>

</transactionAmounts>

</sharesOwnedFollowingTransaction>

</postTransactionAmounts>

</directOrIndirectOwnership>

</ownershipNature>

</nonDerivativeTransaction>

</nonDerivativeTable>

<value> Performance Based Restricted Stock Units </value>

</securityTitle>

</conversionOrExercisePrice>

</transactionDate>

</transactionCoding>

</transactionTimeliness>

</transactionShares>

</transactionPricePerShare>

</transactionAcquiredDisposedCode>

</transactionAmounts>

</exerciseDate>

</expirationDate>

<value> Common Stock </value>

</underlyingSecurityTitle>

</underlyingSecurityShares>

</underlyingSecurity>

</sharesOwnedFollowingTransaction>

</postTransactionAmounts>

</directOrIndirectOwnership>

</ownershipNature>

</derivativeTransaction>

</derivativeTable>

<footnote id="F1"> Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 11,867 shares on each of January 25, 2021 and 2022 and (ii) 11,868 shares on January 25, 2023. </footnote>

<footnote id="F2"> 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. </footnote>

<footnote id="F3"> Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. </footnote>

<footnote id="F4"> The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the Reporting Person on December 13, 2019. 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. </footnote>

<footnote id="F5"> The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $3.83 to $3.905, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote 5 of this Form 4. </footnote>

<footnote id="F6"> 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). </footnote>

<footnote id="F7"> (Continuation of Footnote 6) - 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. </footnote>

</footnotes>

<signatureName> /s/ Marci Frankenthaler, Attorney-in-Fact </signatureName>

</ownerSignature>

</ownershipDocument>

Muni Amit – ‘4’ for 1/25/20 re: WisdomTree Investments, Inc.

On: Tuesday, 1/28/20, at 5:20pm ET · For: 1/25/20 · Accession #: 1209191-20-5221 · File #: 1-10932

Previous ‘4’: ‘4’ on / for 2/4/19 · Next: ‘4’ on / for 1/15/21 · Latest: ‘4’ on 1/27/21 for 1/25/21

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Muni Amit – ‘4’ for 1/25/20 re: WisdomTree Investments, Inc.

On: Tuesday, 1/28/20, at 5:20pm ET · For: 1/25/20 · Accession #: 1209191-20-5221 · File #: 1-10932

Previous ‘4’: ‘4’ on / for 2/4/19 · Next: ‘4’ on / for 1/15/21 · Latest: ‘4’ on 1/27/21 for 1/25/21

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents