8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 18, 2019

 

 

WisdomTree Investments, Inc.

(Exact name of registrant as specified in its charter)

 

 

Commission File Number: 001-10932

 

Delaware   13-3487784

(State or other jurisdiction

of incorporation)

 

(IRS Employer

Identification No.)

245 Park Avenue

35th Floor

New York, NY 10167

(Address of principal executive offices, including zip code)

(212) 801-2080

(Registrant’s telephone number, including area code)

 

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Exchange Act:

 

Title of each class

 

Trading

Symbol(s)

 

Name of each exchange

on which registered

Common Stock, $0.01 par value   WETF   The NASDAQ Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.07.

Submission of Matters to a Vote of Security Holders.

On June 18, 2019, WisdomTree Investments, Inc. (“Company”) held its 2019 Annual Meeting of Stockholders. A total of 143,158,126 shares of the Company’s common stock were present or represented by proxy at the Annual Meeting, representing approximately 92% of the total outstanding common stock. At the Annual Meeting, the stockholders voted on the following three proposals and cast their votes as described below.

 

  1.

The Company’s stockholders elected the following two nominees as Class II members to the Board of Directors of the Company to hold office until the 2022 annual meeting of stockholders and until their respective successors have been duly elected and qualified.

 

NAME

  

FOR

  

%
VOTED
FOR

  

AGAINST

  

ABSTAIN

  

BROKER
NON-VOTES

SUSAN COSGROVE

   129,014,150    99.58%    540,737    17,724    13,585,515

WIN NEUGER

   113,419,671    87.54%    16,132,488    20,452    13,585,515

 

  2.

The Company’s stockholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019.

 

FOR

  

%
VOTED
FOR

  

AGAINST

  

ABSTAIN

142,515,592

   99.59%    579,469    63,065

 

  3.

The Company’s stockholders approved a non-binding, advisory resolution on the compensation of the Company’s named executive officers.

 

FOR

  

%

VOTED

FOR

  

AGAINST

  

ABSTAIN

  

BROKER NON-VOTES

121,932,047

   94.17%    7,538,303    102,261    13,585,515

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    WISDOMTREE INVESTMENTS, INC.
Date: June 19, 2019     By:  

/s/ Marci Frankenthaler

      Marci Frankenthaler
      Chief Legal Officer

 

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