Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WisdomTree, Inc.WETF · Entity 4093 | Global Head of Research | March 12, 2020 | March 13, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
WisdomTree, Inc.
Report date March 12, 2020 · Filed March 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 692,496 |
Reported balance
After 2020-03-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-12 · Purchase · Acquired 20,000 · Balance 692,496 F1: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $2.305 to $2.345, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) of this Form 4. F2: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $2.305 to $2.345, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) of this Form 4.
F2: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 12, 2020 Filed Mar 13, 2020 13:41 UTC | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 20,000 | $2.32 | $46,380.00 |
DisclosureSEC source: 0001209191-20-018686 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 692,496 F1 · price: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $2.305 to $2.345, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) of this Form 4. F2 · balance_after: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 20:11 UTC | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 20,000 | $4.20 | $84,086.00 |
DisclosureSEC source: 0001209191-20-006244 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 672,496 F1 · price: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $4.175 to $4.2150, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) of this Form 4. F2 · balance_after: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 22:13 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 9,948 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005207 · doc4.xml · derivative · entry 3 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,948 Underlying: Common Stock · 9,948 shares Expires not disclosed F4 · derivative.expiration_date: On the third anniversary of the grant date, the Performance-Based Restricted Stock Units ("PRSUs") will vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued pursuant to the PRSUs will be determined based on the total shareholder return ("TSR") of the Common Stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a three-year period from the date of grant of the PRSUs. The number of shares of Common Stock to be issued upon vesting of the PRSUs will range between 0% to 200% of the number of shares indicated above (the target share amount). F5 · derivative.expiration_date: (Continuation of Footnote 4) - If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the third anniversary of the grant date, all or a portion of the PRSUs will vest and the number of shares of Common Stock to be issued pursuant to the PRSUs will be determined at such time, based on the respective TSRs of the Common Stock and the stocks of the peer group, each measured from the grant date to the accelerated vesting date. PRSUs have no voting rights and are generally non-transferable. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 22:13 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 16,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005207 · doc4.xml · nonDerivative · entry 2 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 652,496 F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2 · balance_after: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 22:13 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 39,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005207 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,744 F1 · shares: Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 13,263 shares on each of January 25, 2021 and 2022 and (ii) 13,264 shares on January 25, 2023. F2 · balance_after: Includes restricted stock awards vesting as to (i) 56,375 shares on January 25, 2021, (ii) 47,532 shares on January 25, 2022 and (iii) 13,264 shares on January 25, 2023. Read SEC document |
| August 28, 2019 Filed Aug 29, 2019 17:59 UTC | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 10,000 | $4.73 | $47,315.00 |
DisclosureSEC source: 0001209191-19-047682 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 628,954 F1 · price: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $4.725 to $4.7332, inclusive. The reporting person undertakes to provide to WisdomTree Investments, Inc., any security holder of WisdomTree Investments, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) of this Form 4. F2 · balance_after: Includes restricted stock awards vesting as to (i) 43,111 shares on January 25, 2020, (ii) 43,112 shares on January 25, 2021 and (iii) 34,269 shares on January 25, 2022. Read SEC document |
| January 27, 2019 Filed Jan 29, 2019 22:10 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 7,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005787 · doc4.xml · nonDerivative · entry 3 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618,954 F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F4 · balance_after: Includes restricted stock awards vesting as to (i) 43,111 shares on January 25, 2020, (ii) 43,112 shares on January 25, 2021 and (iii) 34,269 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:10 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 25,701 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005787 · doc4.xml · derivative · entry 4 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,701 Underlying: Common Stock · 25,701 shares Expires not disclosed F5 · derivative.expiration_date: On the third anniversary of the grant date, the Performance-Based Restricted Stock Units ("PRSUs") will vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued pursuant to the PRSUs will be determined based on the total shareholder return ("TSR") of the Common Stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a three-year period from the date of grant of the PRSUs. The number of shares of Common Stock to be issued upon vesting of the PRSUs will range between 0% to 200% of the number of shares indicated above (the target share amount). F6 · derivative.expiration_date: (Continuation of Footnote 5) - If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the third anniversary of the grant date, all or a portion of the PRSUs will vest and the number of shares of Common Stock to be issued pursuant to the PRSUs will be determined at such time, based on the respective TSRs of the Common Stock and the stocks of the peer group, each measured from the grant date to the accelerated vesting date. PRSUs have no voting rights and are generally non-transferable. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:10 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 32,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005787 · doc4.xml · nonDerivative · entry 2 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 626,076 F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2 · balance_after: Includes restricted stock awards vesting as to (i) 20,964 shares on January 27, 2019, (ii) 43,111 shares on January 25, 2020, (iii) 43,112 shares on January 25, 2021 and (iv) 34,269 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:10 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 102,803 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005787 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 658,207 F1 · shares: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 34,267 shares on each of January 25, 2020 and 2021 and (ii) 34,269 shares on January 25, 2022. F2 · balance_after: Includes restricted stock awards vesting as to (i) 20,964 shares on January 27, 2019, (ii) 43,111 shares on January 25, 2020, (iii) 43,112 shares on January 25, 2021 and (iv) 34,269 shares on January 25, 2022. Read SEC document |
| November 23, 2018 Filed Dec 26, 2018 22:18 UTC | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 1,290 | $7.49 | $9,664.55 |
DisclosureSEC source: 0001209191-18-064124 · doc4.xml · nonDerivative · entry 1 Schwartz Jeremy · CIK 0001756978 · Global Head of Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555,404 F1 · shares: Represents shares acquired via dividend reinvestment pursuant to a dividend reinvestment plan sponsored by a broker-dealer. F2 · balance_after: Includes restricted stock awards vesting as to (i) 91,948 shares on January 25, 2019, (ii) 20,964 shares on January 27, 2019, (iii) 8,844 shares on January 25, 2020 and (iv) 8,845 shares on January 25, 2021. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.