0001567619-20-015774.txt : 20200819 0001567619-20-015774.hdr.sgml : 20200819 20200819184302 ACCESSION NUMBER: 0001567619-20-015774 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200811 FILED AS OF DATE: 20200819 DATE AS OF CHANGE: 20200819 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tuckwell Graham CENTRAL INDEX KEY: 0001736643 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 201118226 MAIL ADDRESS: STREET 1: ORDNANCE HOUSE STREET 2: 31 PIER ROAD CITY: ST HELIER STATE: Y9 ZIP: JE4 8PW REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ETFS Capital Limited. CENTRAL INDEX KEY: 0001520619 STANDARD INDUSTRIAL CLASSIFICATION: [6221] FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10932 FILM NUMBER: 201118227 BUSINESS ADDRESS: STREET 1: Ordnance House STREET 2: 31 Pier Road CITY: St. Helier, Channel Islands STATE: Y9 ZIP: JE4 8PW BUSINESS PHONE: 44-153--482-5500 MAIL ADDRESS: STREET 1: Ordnance House STREET 2: 31 Pier Road CITY: St. Helier, Channel Islands STATE: Y9 ZIP: JE4 8PW FORMER NAME: FORMER CONFORMED NAME: ETF Securities Ltd DATE OF NAME CHANGE: 20110512 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 3 1 doc1.xml FORM 3 X0206 3 2020-08-11 0 0000880631 WisdomTree Investments, Inc. WETF 0001520619 ETFS Capital Limited. ORDNANCE HOUSE 31 PIER ROAD ST. HELIER, CHANNEL ISLANDS Y9 JE4 8PW JERSEY 0 0 1 0 0001736643 Tuckwell Graham C/O ETFS CAPITAL LIMITED ORDNANCE HOUSE, 31 PIER ROAD ST. HELIER, CHANNEL ISLANDS Y9 JE4 8PW JERSEY 0 1 1 0 Chairman Common Stock 15250000 D The shares of Common Stock are directly beneficially owned by ETFS Capital Limited ("ETFS"). Graham Tuckwell is the controlling shareholder of ETFS. As the controlling shareholder of ETFS, Mr. Tuckwell may be deemed an indirect beneficial owner of the shares of Common Stock directly owned by ETFS. Mr. Tuckwell and ETFS are each a "Reporting Person," and collectively are the "Reporting Persons." This report is being filed jointly by the Reporting Persons. Each Reporting Person disclaims beneficial ownership of the Common Stock of the Issuer reported herein except to the extent of such Reporting Person's pecuniary interest therein. In addition to the shares of Common Stock reported herein, ETFS directly owns, and Mr. Tuckwell indirectly beneficially owns, 14,750 shares of the issuer's Series A Non-Voting Convertible Preferred Stock, which are convertible immediately into 14,750,000 shares of Common Stock at the holder's option. The Certificate of Designations for the Series A Non-Voting Convertible Preferred Stock (the "Preferred Stock") restricts the Reporting Persons from converting such stock into Common Stock if the Reporting Persons would beneficially own more than 9.99% of the Issuer's outstanding Common Stock after giving effect to such conversion, and renders any conversions over the cap void ab initio (the "Conversion Cap"). As a result of the Conversion Cap, each Reporting Person disclaims beneficial ownership of the Preferred Stock, except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of the Preferred Stock or the underlying Common Stock into which it is convertible for any purpose. Exhibit 24.1-Power of Attorney /s/ Mark Weeks, as authorized signatory for ETFS Capital Limited 2020-08-19 /s/ Graham Tuckwell 2020-08-19 EX-24.1 2 a20-23_ex24.htm EXHIBIT 24. 1 - POWER OF ATTORNEY

Exhibit 24.1

Authorization and Designation to Sign and File Section 16(a) Reporting Forms

Each of the undersigned does hereby authorize and designate Graham Tuckwell and Mark Weeks, as the undersigned’s true and lawful attorney(s)-in-fact (i) to sign and file on the undersigned’s behalf any and all Forms 3, 4 and 5 relating to equity securities of WisdomTree Investments, Inc. (the “Corporation”) pursuant to the requirements of Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder (“Section 16(a)”), and (ii) to take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney(s) in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney(s)-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney(s)-in-fact may approve in such attorney-in-fact’s discretion. This Power of Attorney, unless earlier revoked by the undersigned in writing, shall be valid until the undersigned’s reporting obligations under Section 16(a) with respect to equity securities of the Corporation shall cease. Each of the undersigned acknowledges that the foregoing attorney(s)-in-fact, in serving in such capacity at the request of the undersigned, are not assuming the undersigned’s or the Corporation’s responsibilities to comply with Section 16(a).

IN WITNESS WHEREOF, each of the undersigned has executed this Power of Attorney as of the 19th day of August,2020.

ETFS Capital Limited

By: /s/ Mark Weeks

Name: Marks Weeks

Title: Director

GRAHAM TUCKWELL

/s/ Graham Tuckwell

Signature