FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/25/2011 |
3. Issuer Name and Ticker or Trading Symbol
WisdomTree Investments, Inc. [ WSDT ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 98,245 | D | |
Common Stock | 18,191(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | 11/06/2005 | 11/05/2012 | common stock | 2,143 | 0.07 | D | |
Stock Option (right to buy) | (2) | 06/29/2013 | common stock | 156,163 | 0.1 | D | |
Stock Option (right to buy) | (3) | 03/16/2014 | common stock | 750,000 | 0.03 | D | |
Stock Option (right to buy) | (4) | 11/09/2013 | common stock | 336,953 | 0.16 | D | |
Stock Option (right to buy) | (5) | 01/25/2019 | common stock | 200,000 | 0.7 | D |
Explanation of Responses: |
1. Restricted stock award vesting on Janaury 27, 2012 |
2. Exercisable as to 56,163 shares on July 30, 2006 and as to 100,000 shares on July 30, 2007 |
3. Exercisable as to 75,000 shares on each of March 17, 2005, 2006, 2007, 2008, and 2009 and exercisable as to an additional 375,000 shares at such time as the issuer achieves at least $1.00 of net income in two consecutive fiscal quarters |
4. Exercisable as to 67,390 shares on each of November 10, 2005 and 2007 and exercisable as to an additional 67,391 shares on each of November 10, 2006, 2008 and 2009 |
5. Exercisable as to 50,000 shares on each of Janaury 26, 2010, 2011, 2012 and 2013 |
Remarks: |
Exhibit Index: Exhibit 24 Power of Attorney by Luciano Siracusano III |
Luciano Siracusano III | 07/22/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |