Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WisdomTree, Inc.WETF · Entity 4093 | Executive Vice President | January 25, 2020 | January 28, 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 January 25, 2020 · Filed January 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 137,022 |
Last balance in matching sequence
After 2020-01-25 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-01-25 · Grant · Acquired 15,706 · Balance 148,967 F1: Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 5,235 shares on each of January 25, 2021 and 2022 and (ii) 5,236 shares on January 25, 2023. F2: Includes restricted stock awards which vest as to (i) 31,451 shares on January 25, 2021, (ii) 28,911 shares on January 25, 2022 and (iii) 5,236 shares on January 25, 2023. Row 2 · 2020-01-25 · Tax withholding · Disposed 11,945 · Balance 137,022 F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2: Includes restricted stock awards which vest as to (i) 31,451 shares on January 25, 2021, (ii) 28,911 shares on January 25, 2022 and (iii) 5,236 shares on January 25, 2023. |
| Performance Based Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 3,927 |
Reported balance
After 2020-01-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-01-25 · Grant · Acquired 3,927 · Balance 3,927 F4: 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: (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. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 5,235 shares on each of January 25, 2021 and 2022 and (ii) 5,236 shares on January 25, 2023.
F2: Includes restricted stock awards which vest as to (i) 31,451 shares on January 25, 2021, (ii) 28,911 shares on January 25, 2022 and (iii) 5,236 shares on January 25, 2023.
F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
F4: 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: (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.
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 |
|---|---|---|---|---|---|---|
| January 25, 2020 Filed Jan 28, 2020 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 3,927 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005192 · doc4.xml · derivative · entry 3 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,927 Underlying: Common Stock · 3,927 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 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 11,945 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005192 · doc4.xml · nonDerivative · entry 2 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,022 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 which vest as to (i) 31,451 shares on January 25, 2021, (ii) 28,911 shares on January 25, 2022 and (iii) 5,236 shares on January 25, 2023. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 15,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005192 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,967 F1 · shares: Restricted stock awarded by Issuer on January 25, 2020 and vesting as to (i) 5,235 shares on each of January 25, 2021 and 2022 and (ii) 5,236 shares on January 25, 2023. F2 · balance_after: Includes restricted stock awards which vest as to (i) 31,451 shares on January 25, 2021, (ii) 28,911 shares on January 25, 2022 and (iii) 5,236 shares on January 25, 2023. Read SEC document |
| December 12, 2019 Filed Dec 13, 2019 21:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.25 | $0.00 |
DisclosureSEC source: 0001209191-19-060348 · doc4.xml · derivative · entry 3 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2020-01-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 12, 2019 Filed Dec 13, 2019 21:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | SaleCommon Stock | 10,000 | $4.90 | $49,005.00 |
DisclosureSEC source: 0001209191-19-060348 · doc4.xml · nonDerivative · entry 2 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,261 F1 · balance_after: Includes restricted stock awards which vest as to (i) 27,445 shares on January 25, 2020, (ii) 26,216 shares on January 25, 2021 and (iii) 23,676 shares on January 25, 2022. Read SEC document |
| December 12, 2019 Filed Dec 13, 2019 21:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionCommon Stock | 15,000 | $2.25 | $33,750.00 |
DisclosureSEC source: 0001209191-19-060348 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,261 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock awards which vest as to (i) 27,445 shares on January 25, 2020, (ii) 26,216 shares on January 25, 2021 and (iii) 23,676 shares on January 25, 2022. Read SEC document |
| September 12, 2019 Filed Sep 13, 2019 17:02 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 1,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-049421 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,261 F1 · shares: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2 · balance_after: Includes restricted stock awards which vest as to (i) 27,445 shares on January 25, 2020, (ii) 26,216 shares on January 25, 2021 and (iii) 23,676 shares on January 25, 2022. Read SEC document |
| January 27, 2019 Filed Jan 29, 2019 22:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 1,126 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005778 · doc4.xml · nonDerivative · entry 3 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,085 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 which vest as to (i) 4,771 shares on September 12, 2019, (ii) 27,445 shares on January 25, 2020, (iii) 26,216 shares on January 25, 2021 and (iv) 23,676 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 17,757 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005778 · doc4.xml · derivative · entry 4 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,757 Underlying: Common Stock · 17,757 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 22:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 1,442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005778 · doc4.xml · nonDerivative · entry 2 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,211 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 which vest as to (i) 2,945 shares on January 27, 2019, (ii) 4,771 shares on September 12, 2019, (iii) 27,445 shares on January 25, 2020, (iv) 26,216 shares on January 25, 2021 and (v) 23,676 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:06 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 71,028 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005778 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,653 F1 · shares: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to 23,676 shares on each of January 25, 2020, 2021 and 2022. F2 · balance_after: Includes restricted stock awards which vest as to (i) 2,945 shares on January 27, 2019, (ii) 4,771 shares on September 12, 2019, (iii) 27,445 shares on January 25, 2020, (iv) 26,216 shares on January 25, 2021 and (v) 23,676 shares on January 25, 2022. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:58 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001209191-19-004575 · doc4.xml · derivative · entry 2 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2019-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Exercisable as to 5,000 shares on each of January 26, 2010, 2011, 2012 and 2013. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:58 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionCommon Stock | 20,000 | $0.70 | $14,000.00 |
DisclosureSEC source: 0001209191-19-004575 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,625 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes restricted stock awards which vest as to (i) 3,769 shares on each of January 25, 2019 and 2020, (ii) 2,945 shares on January 27, 2019, (iii) 4,771 shares on September 12, 2019 and (iv) 2,540 shares on January 25, 2021. Read SEC document |
| September 12, 2018 Filed Sep 13, 2018 18:31 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 1,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-050783 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,625 F1 · shares: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2 · balance_after: Includes restricted stock awards which vest as to (i) 3,769 shares on each of January 25, 2019 and 2020, (ii) 2,945 shares on January 27, 2019, (iii) 4,771 shares on September 12, 2019 and (iv) 2,540 shares on January 25, 2021. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:21 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 7,616 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005837 · doc4.xml · nonDerivative · entry 1 Bell Stuart · CIK 0001727098 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,449 F1 · shares: Restricted stock awarded by Issuer on January 25, 2018 and vesting as to (i) 2,538 shares on each of January 25, 2019 and 2020 and (ii) 2,540 shares on January 25, 2021. F2 · balance_after: Includes restricted stock awards which vest as to (i) 4,770 shares on September 12, 2018, (ii) 3,769 shares on each of January 25, 2019 and 2020, (iii) 2,945 shares on January 27, 2019, (iv) 4,771 shares on September 12, 2019 and (v) 2,540 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.