0001209191-20-005204.txt : 20200128
0001209191-20-005204.hdr.sgml : 20200128
20200128171230
ACCESSION NUMBER: 0001209191-20-005204
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200125
FILED AS OF DATE: 20200128
DATE AS OF CHANGE: 20200128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Marinof Alexis
CENTRAL INDEX KEY: 0001784344
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10932
FILM NUMBER: 20555508
MAIL ADDRESS:
STREET 1: 245 PARK AVENUE, 35TH FLOOR
STREET 2: C/O WISDOMTREE INVESTMENTS, INC.
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
2020-01-25
0
0000880631
WisdomTree Investments, Inc.
WETF
0001784344
Marinof Alexis
245 PARK AVENUE, 35TH FLOOR
C/O WISDOMTREE INVESTMENTS, INC.
NEW YORK
NY
10167
0
1
0
0
Head of WisdomTree Europe
Common Stock
2020-01-25
4
A
0
43547
0.00
A
62117
D
Common Stock
2020-01-25
4
F
0
2005
0.00
D
60112
D
Performance Based Restricted Stock Units
0.00
2020-01-25
4
A
0
10887
0.00
A
2023-01-25
Common Stock
10887
10887
D
Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 14,515 shares on each of January 25, 2021 and 2022 and (ii) 14,517 shares on January 25, 2023.
Includes restricted stock awards vesting as to (i) 1,047 shares on July 3, 2020, (ii) 20,238 shares on January 25, 2021, (iii) 19,312 shares on January 25, 2022 and (iv) 14,517 shares on January 25, 2023.
Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
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).
(Continuation of Footnote 4) - 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.
/s/ Marci Frankenthaler, Attorney-in-Fact
2020-01-28