Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WisdomTree, Inc.WETF · Entity 4093 | Head of WisdomTree Europe | January 25, 2019 | January 29, 2019 |
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, 2019 · Filed January 29, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 204,071 |
Reported balance
After 2019-01-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-01-25 · Grant · Acquired 49,844 · Balance 204,071 F1: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 16,614 shares on each of January 25, 2020 and 2021 and (ii) 16,616 shares on January 25, 2022. F2: Includes restricted stock awards which vest as to (i) 9,010 shares on January 27, 2019, (ii) 39,600 shares on August 1, 2019, (iii) 23,520 shares on January 25, 2020, (iv) 21,119 shares on January 25, 2021 and (v) 16,616 shares on January 25, 2022. |
| Common StockSEC Table I · non-derivative | Direct | 201,358 |
Reported balance
After 2019-01-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2019-01-25 · Tax withholding · Disposed 2,713 · Balance 201,358 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) 9,010 shares on January 27, 2019, (ii) 39,600 shares on August 1, 2019, (iii) 23,520 shares on January 25, 2020, (iv) 21,119 shares on January 25, 2021 and (v) 16,616 shares on January 25, 2022. |
| Common StockSEC Table I · non-derivative | Direct | 197,819 |
Reported balance
After 2019-01-27 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2019-01-27 · Tax withholding · Disposed 3,539 · Balance 197,819 F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F4: Includes restricted stock awards which vest as to (i) 39,600 shares on August 1, 2019, (ii) 23,520 shares on January 25, 2020, (iii) 21,119 shares on January 25, 2021 and (iv) 16,616 shares on January 25, 2022. |
| Performance Based Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 12,461 |
Reported balance
After 2019-01-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-01-25 · Grant · Acquired 12,461 · Balance 12,461 F5: 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: (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. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 16,614 shares on each of January 25, 2020 and 2021 and (ii) 16,616 shares on January 25, 2022.
F2: Includes restricted stock awards which vest as to (i) 9,010 shares on January 27, 2019, (ii) 39,600 shares on August 1, 2019, (iii) 23,520 shares on January 25, 2020, (iv) 21,119 shares on January 25, 2021 and (v) 16,616 shares on January 25, 2022.
F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.
F4: Includes restricted stock awards which vest as to (i) 39,600 shares on August 1, 2019, (ii) 23,520 shares on January 25, 2020, (iii) 21,119 shares on January 25, 2021 and (iv) 16,616 shares on January 25, 2022.
F5: 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: (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.
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 27, 2019 Filed Jan 29, 2019 22:05 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 3,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005775 · doc4.xml · nonDerivative · entry 3 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,819 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) 39,600 shares on August 1, 2019, (ii) 23,520 shares on January 25, 2020, (iii) 21,119 shares on January 25, 2021 and (iv) 16,616 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:05 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 12,461 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005775 · doc4.xml · derivative · entry 4 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,461 Underlying: Common Stock · 12,461 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 22:05 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 2,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005775 · doc4.xml · nonDerivative · entry 2 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,358 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) 9,010 shares on January 27, 2019, (ii) 39,600 shares on August 1, 2019, (iii) 23,520 shares on January 25, 2020, (iv) 21,119 shares on January 25, 2021 and (v) 16,616 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:05 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 49,844 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005775 · doc4.xml · nonDerivative · entry 1 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,071 F1 · shares: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 16,614 shares on each of January 25, 2020 and 2021 and (ii) 16,616 shares on January 25, 2022. F2 · balance_after: Includes restricted stock awards which vest as to (i) 9,010 shares on January 27, 2019, (ii) 39,600 shares on August 1, 2019, (iii) 23,520 shares on January 25, 2020, (iv) 21,119 shares on January 25, 2021 and (v) 16,616 shares on January 25, 2022. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 20:43 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 13,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045000 · doc4.xml · nonDerivative · entry 1 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,227 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) 39,600 shares on August 1, 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionStock Option (right to buy) · Derivative | 12,800 | $0.00 Strike: $1.07 | $0.00 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · derivative · entry 6 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,800 shares Expires 2018-03-31 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. F4 · derivative.exercise_date: Exercisable as to 37,500 shares on each of January 26, 2010, 2011, 2012 and 2013. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | SaleCommon Stock | 12,800 | $10.55 | $135,006.72 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · nonDerivative · entry 4 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,680 F3 · price: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.54 to $10.555, 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 sold at each separate price within the range set forth in footnote (3) of this Form 4. F1 · balance_after: Includes restricted stock awards which vest as to (i) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionCommon Stock | 12,800 | $1.07 | $13,696.00 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · nonDerivative · entry 3 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,480 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) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionStock Option (right to buy) · Derivative | 37,200 | $0.00 Strike: $1.07 | $0.00 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · derivative · entry 5 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,800 Underlying: Common Stock · 37,200 shares Expires 2018-03-31 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. F4 · derivative.exercise_date: Exercisable as to 37,500 shares on each of January 26, 2010, 2011, 2012 and 2013. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | SaleCommon Stock | 12,200 | $10.48 | $127,881.62 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · nonDerivative · entry 2 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,680 F2 · price: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.48 to $10.49, 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 sold at each separate price within the range set forth in footnote (2) of this Form 4. F1 · balance_after: Includes restricted stock awards which vest as to (i) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 12:48 UTC | WisdomTree, Inc. WETF · Entity 4093 | Exercise / conversionCommon Stock | 37,200 | $1.07 | $39,804.00 |
DisclosureSEC source: 0001209191-18-012137 · doc4.xml · nonDerivative · entry 1 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,880 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) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 shares on January 25, 2021. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:20 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 13,513 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005832 · doc4.xml · nonDerivative · entry 1 Abner David J. · CIK 0001727096 · Head of WisdomTree Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,680 F1 · shares: Restricted stock awarded by Issuer on January 25, 2018 and vesting as to (i) 4,504 shares on each of January 25, 2019 and 2020 and (ii) 4,505 shares on January 25, 2021. F2 · balance_after: Includes restricted stock awards which vest as to (i) 39,600 shares on each of August 1, 2018 and 2019, (ii) 6,906 shares on each of January 25, 2019 and 2020, (iii) 9,010 shares on January 27, 2019 and (iv) 4,505 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.