UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form
CURRENT REPORT
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| Item 5.02. | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
The Board of Directors of WisdomTree Investments, Inc. (the “Company”) appointed Bryan Edmiston as Chief Financial Officer and principal financial officer, effective June 1, 2021. Mr. Edmiston, 45, has served as Chief Accounting Officer since April 2018 and as Director – Financial Reporting and Accounting Policy since September 2016. In these roles, he has been responsible for overseeing the Company’s accounting matters, including global financial accounting and reporting, the financial control environment and the global tax function. Prior to the Company, Mr. Edmiston joined the broker-dealer subsidiary of Gleacher & Company, Inc. as a Managing Director responsible for Accounting Policy and SEC Reporting in December 2009. In July 2010, he also assumed the role of Controller of this subsidiary. From August 2011 to September 2016, he served as Controller and principal accounting officer of Gleacher. Mr. Edmiston was also a Senior Manager within the Banking & Capital Markets Assurance Practice at PricewaterhouseCoopers LLP, having been employed there from September 1997 to December 2009 while servicing a number of clients in the financial services industry. He received a B.B.A. in Accounting from Pace University and is a Certified Public Accountant.
Mr. Edmiston is not a party to any arrangement or understanding regarding his selection as Chief Financial Officer. Mr. Edmiston has no family relationships with any director, executive officer or person nominated or chosen by the Company to become a director or executive officer of the Company. Mr. Edmiston is not a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
In connection with his appointment as Chief Financial Officer, Mr. Edmiston’s annual base salary will increase from $250,000 to $325,000 effective June 1, 2021. He has not entered into any material plan, contract, arrangement or amendment in connection with his appointment as Chief Financial Officer.
A copy of the press release announcing Mr. Edmiston’s appointment is included as Exhibit 99.1 to this Report on Form 8-K and is incorporated herein by reference.
| Item 9.01. | Financial Statements and Exhibits |
| (d) | Exhibits: |
| Exhibit 99.1 | Press Release, dated May 25, 2021 | |
| Exhibit 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
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: May 25, 2021 | By: | /s/ Marci Frankenthaler | ||||
| Marci Frankenthaler | ||||||
| Chief Legal Officer and Secretary | ||||||