UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Form
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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 |
Resignation of Harold Singleton III Due to a Conflict of Interest Related to a New Board Opportunity
On November 2, 2023, Harold Singleton III, a member of the Board of Directors (the “Board”) of WisdomTree, Inc. (the “Company”), Chair of the Audit Committee and a member of the Nominating and Governance Committee of the Board, notified the Company of his intention to resign from the Board, effective November 8, 2023. Mr. Singleton informed the Company that he is pursuing an opportunity to join the mutual fund board of a large mutual fund manager, and his resignation from the Company’s Board was made to avoid any conflict of interest that could arise because of his serving on the mutual fund board. Mr. Singleton did not advise the Company of any disagreement with the Company’s management or the Board on any matter relating to the Company’s operations, policies or practices.
Audit Committee Chair and Member Appointments
On November 8, 2023, the Board appointed Lynn S. Blake, a current member of the Audit Committee, to replace Mr. Singleton as Chair of the Audit Committee. In addition, Rilla Delorier, a current member of the Board, was appointed to serve as a member of the Audit Committee. The Board has determined that Ms. Delorier is independent under Section 303A of the New York Stock Exchange Listed Company Manual (the “NYSE Manual”) and Rule 10A-3 of the Securities and Exchange Act of 1934, as amended. The Board also has determined that Ms. Delorier meets the definition of financially literate under Section 303A of the NYSE Manual.
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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, Inc. | ||
| Date: November 8, 2023 | By: |
/s/ Marci Frankenthaler |
| Marci Frankenthaler | ||
| Chief Legal Officer | ||
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