0001209191-22-005214.txt : 20220127 0001209191-22-005214.hdr.sgml : 20220127 20220127163319 ACCESSION NUMBER: 0001209191-22-005214 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220125 FILED AS OF DATE: 20220127 DATE AS OF CHANGE: 20220127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lilien R Jarrett CENTRAL INDEX KEY: 0001197950 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 22563620 MAIL ADDRESS: STREET 1: 1200 BROADWAY, SUITE 8B CITY: NEW YORK STATE: NY ZIP: 10001 FORMER NAME: FORMER CONFORMED NAME: LILIEN R JARRETT DATE OF NAME CHANGE: 20021010 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: 230 PARK AVENUE STREET 2: 3RD FLOOR WEST CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 212-801-2080 MAIL ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: 3RD FLOOR WEST CITY: NEW YORK STATE: NY ZIP: 10169 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 2022-01-25 0 0000880631 WisdomTree Investments, Inc. WETF 0001197950 Lilien R Jarrett C/O WISDOMTREE INVESTMENTS, INC. 230 PARK AVENUE, 3RD FLOOR WEST NEW YORK NY 10169 0 1 0 0 President and COO Common Stock 2022-01-25 4 A 0 88545 0.00 A 624393 D Common Stock 2022-01-25 4 F 0 29163 0.00 D 595230 D Performance Based Restricted Stock Units 0.00 2022-01-25 4 A 0 88546 0.00 A 2025-01-25 Common Stock 88546 88546 D Restricted stock awarded by Issuer on January 25, 2022 and vesting as to 29,515 shares on each of January 25, 2023, 2024 and 2025. Includes restricted stock awards vesting as to 29,515 shares on each of January 25, 2023, 2024 and 2025. 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 2022-01-27