UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
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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 5.02. | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
Effective January 12, 2022, Bruce Lavine resigned from the Board of Directors of WisdomTree Investments, Inc. (the “Company”) and from the Nominating and Governance Committee of the Board. Mr. Lavine’s resignation was not due to any disagreements with the Company’s management or the Board of Directors relating to the Company’s operations, policies or practices. The Company accelerated the vesting of an aggregate of 8,990 shares of the Company’s restricted stock held by Mr. Lavine, which were originally scheduled to vest as to 15,625 shares on June 17, 2022.
| Item 9.01. | Financial Statements and Exhibits |
(d) Exhibits:
| Exhibit 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |
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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: January 12, 2022 | By: | /s/ Marci Frankenthaler | ||||
| Marci Frankenthaler | ||||||
| Chief Legal Officer and Secretary | ||||||
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