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WETF > SEC Filings for WETF > Form 8-K on 16-Aug-2013All Recent SEC Filings




Other Events

Item 8.01. Other Events

Jonathan Steinberg, Chief Executive Officer and President of WisdomTree Investments, Inc. ("Company"), has adopted a pre-arranged stock trading plan to exercise 3,000,000 options to purchase common stock of the Company that were granted on March 17, 2004 and expire on March 16, 2014, and to sell 1,800,000 of the underlying shares. Mr. Steinberg's sole purpose for entering into the plan is to ensure exercise of the options prior to their expiration and to sell a sufficient number of the underlying shares to cover the exercise price and satisfy the tax liability resulting from the exercise of the options. Mr. Steinberg will retain 1,200,000 of the underlying shares after exercise.

The transactions under this plan will be disclosed publicly through Form 144 and Form 4 filings with the Securities and Exchange Commission. The plan was adopted in accordance with guidelines specified under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended, and the Company's internal policies regarding stock transactions.

Rule 10b5-1 permits individuals who are not in possession of material, non-public information at the time a plan is adopted to establish pre-arranged plans to buy or sell company stock. These plans allow insiders to have shares sold for their accounts over a period of time regardless of any material, non-public information they may receive after adopting their plans. In accordance with the 10b5-1 rules, Mr. Steinberg will have no discretion over sales under his plan.

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