SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 9)*
WisdomTree Investments, Inc.
(Name of Issuer)
COMMON STOCK, $0.01 PAR VALUE PER SHARE
(Title of Class of Securities)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
NAMES OF REPORTING PERSONS
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☐
SEC USE ONLY
CITIZENSHIP OR PLACE OF ORGANIZATION
SOLE VOTING POWER
SHARED VOTING POWER
SOLE DISPOSITIVE POWER
SHARED DISPOSITIVE POWER
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
TYPE OF REPORTING PERSON
|Item 1.|| |
Name of Issuer: WisdomTree Investments, Inc. (the Issuer)
Address of Issuers Principal Executive Offices:
245 Park Avenue, 35th Floor
New York, New York 10167
|Item 2.|| |
Name of Persons Filing: Michael Steinhardt
Address of Principal Business Office or, if None, Residence:
712 Fifth Avenue, 34th Floor, New York, NY 10019
Citizenship: United States
Title of Class of Securities:
Common stock, $0.01 par value per share
CUSIP Number: 97717P104
|Item 3.|| |
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
☐ Broker or dealer registered under Section 15 of the Act;
☐ Bank as defined in Section 3(a)(6) of the Act;
☐ Insurance company as defined in Section 3(a)(19) of the Act;
☐ Investment company registered under Section 8 of the Investment Company Act of 1940;
☐ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
☐ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
☐ A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
☐ A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
☐ Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|Item 4.|| |
Amount beneficially owned: shares of common stock 10,854,851*
Percent of class: 7.30%
Number of shares as to which such person has:
Sole power to vote or to direct the vote: 8,854,851
Shared power to vote or to direct the vote: 2,000,000
Sole power to dispose or to direct the disposition: 8,854,851
Shared power to dispose or to direct the disposition of: 2,000,000
As of December 31, 2020, the 10,854,851 shares of common stock beneficially owned by Mr. Steinhardt included 2,000,000 shares of common stock held by The Judy and Michael Steinhardt Foundation for which Mr. Steinhardt serves as a co-Trustee with Judy Steinhardt, with whom he shares voting and dispositive power.
The percent of class was calculated based on 148,716,373 shares of common stock issued and outstanding as of December 31, 2020.
|Item 5.|| |
Ownership of Five Percent or Less of a Class.
|Item 6.|| |
Ownership of More than Five Percent on Behalf of Another Person.
|Item 7.|| |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|Item 8.|| |
Identification and Classification of Members of the Group.
|Item 9.|| |
Notice of Dissolution of Group.
|Item 10.|| |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 4, 2021