Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WisdomTree, Inc.WETF · Entity 4093 | Global Head of Distribution | 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 | 313,614 |
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 136,448 · Balance 313,614 F1: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 45,482 shares on each of January 25, 2020 and 2021 and (ii) 45,484 shares on January 25, 2022. F2: Includes restricted stock awards vesting as to (i) 20,613 shares on January 27, 2019, (ii) 76,435 shares on January 25, 2020,(iii) 59,815 shares on January 25, 2021 and (iv) 45,484 shares on January 25, 2022. |
| Common StockSEC Table I · non-derivative | Direct | 302,224 |
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 11,390 · Balance 302,224 F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F2: Includes restricted stock awards vesting as to (i) 20,613 shares on January 27, 2019, (ii) 76,435 shares on January 25, 2020,(iii) 59,815 shares on January 25, 2021 and (iv) 45,484 shares on January 25, 2022. |
| Common StockSEC Table I · non-derivative | Direct | 295,221 |
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 7,003 · Balance 295,221 F3: Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes. F4: Includes restricted stock awards vesting as to (i) 76,435 shares on January 25, 2020,(ii) 59,815 shares on January 25, 2021 and (iii) 45,484 shares on January 25, 2022. |
| Performance Based Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 34,112 |
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 34,112 · Balance 34,112 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) 45,482 shares on each of January 25, 2020 and 2021 and (ii) 45,484 shares on January 25, 2022.
F2: Includes restricted stock awards vesting as to (i) 20,613 shares on January 27, 2019, (ii) 76,435 shares on January 25, 2020,(iii) 59,815 shares on January 25, 2021 and (iv) 45,484 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 vesting as to (i) 76,435 shares on January 25, 2020,(ii) 59,815 shares on January 25, 2021 and (iii) 45,484 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 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 7,003 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005784 · doc4.xml · nonDerivative · entry 3 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,221 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) 76,435 shares on January 25, 2020,(ii) 59,815 shares on January 25, 2021 and (iii) 45,484 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantPerformance Based Restricted Stock Units · Derivative | 34,112 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005784 · doc4.xml · derivative · entry 4 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,112 Underlying: Common Stock · 34,112 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 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 11,390 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005784 · doc4.xml · nonDerivative · entry 2 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,224 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) 20,613 shares on January 27, 2019, (ii) 76,435 shares on January 25, 2020,(iii) 59,815 shares on January 25, 2021 and (iv) 45,484 shares on January 25, 2022. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 22:08 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 136,448 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005784 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,614 F1 · shares: Restricted stock awarded by Issuer on January 25, 2019 and vesting as to (i) 45,482 shares on each of January 25, 2020 and 2021 and (ii) 45,484 shares on January 25, 2022. F2 · balance_after: Includes restricted stock awards vesting as to (i) 20,613 shares on January 27, 2019, (ii) 76,435 shares on January 25, 2020,(iii) 59,815 shares on January 25, 2021 and (iv) 45,484 shares on January 25, 2022. Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 20:31 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 6,890 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-040360 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,166 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 vesting as to (i) 30,952 shares on January 25, 2019, (ii) 20,613 shares on January 27, 2019, (iii) 30,953 shares on January 25, 2020 and (iv) 14,333 shares on January 25, 2021. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 19:38 UTC | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 19,710 | $10.38 | $204,646.96 |
DisclosureSEC source: 0001209191-18-008076 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,056 F1 · price: The price included in Column 4 is an average weighted price. These shares were sold in multiple transactions at prices ranging from $10.365 to $10.3945, 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 (1) of this Form 4. F2 · balance_after: Includes restricted stock awards which vest as to (i) 14,913 shares on July 1, 2018, (ii) 30,952 shares on January 25, 2019, (iii) 20,613 shares on January 27, 2019, (iv) 30,953 shares on January 25, 2020 and (iv) 14,333 shares on January 25, 2021. Read SEC document |
| February 05, 2018 Filed Feb 8, 2018 15:40 UTC Amendment | WisdomTree, Inc. WETF · Entity 4093 | PurchaseCommon Stock | 19,710 | $10.38 | $204,646.96 |
DisclosureSEC source: 0001209191-18-008305 · doc4a.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,056 F1 · security: This amendment is being filed solely to correct a typographical error in the footnote of the originally filed Form 4 which erroneously indicated that the shares were sold instead of purchased. F2 · price: The price included in Column 4 is an average weighted price. These shares were purchased in multiple transactions at prices ranging from $10.365 to $10.3945, 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 (2) of this Form 4. F3 · balance_after: Includes restricted stock awards which vest as to (i) 14,913 shares on July 1, 2018, (ii) 30,952 shares on January 25, 2019, (iii) 20,613 shares on January 27, 2019, (iv) 30,953 shares on January 25, 2020 and (iv) 14,333 shares on January 25, 2021. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:23 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 42,997 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005842 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,346 F1 · shares: Restricted stock awarded by Issuer on January 25, 2018 and vesting as to (i) 14,332 shares on each of January 25, 2019 and 2020 and (ii) 14,333 shares on January 25, 2021. F2 · balance_after: Includes restricted stock awards which vest as to (i) 14,913 shares on July 1, 2018, (ii) 30,952 shares on January 25, 2019, (iii) 20,613 shares on January 27, 2019, (iv) 30,953 shares on January 25, 2020 and (iv) 14,333 shares on January 25, 2021. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 22:17 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 7,621 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-000289 · doc4.xml · nonDerivative · entry 2 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,349 F1 · shares: Surrender of common stock to Issuer to cover withholding taxes upon accelerated vesting of restricted stock award originally scheduled to vest in January 2018. F2 · balance_after: Includes restricted stock awards vesting as to (i) 14,913 shares on July 1, 2018, (ii) 20,613 shares on January 27, 2019, (iii) 16,620 shares on January 25, 2019 and (iv) 16,621 shares on January 25, 2020. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 22:17 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 8,355 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-000289 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Global Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,970 F1 · shares: Surrender of common stock to Issuer to cover withholding taxes upon accelerated vesting of restricted stock award originally scheduled to vest in January 2018. F2 · balance_after: Includes restricted stock awards vesting as to (i) 14,913 shares on July 1, 2018, (ii) 20,613 shares on January 27, 2019, (iii) 16,620 shares on January 25, 2019 and (iv) 16,621 shares on January 25, 2020. Read SEC document |
| July 01, 2017 Filed Jul 26, 2017 13:40 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 5,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-046264 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Head of Global Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,325 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 vesting as to (i) 14,913 shares on July 1, 2018, (ii) 20,612 shares on January 27, 2018, (iii) 20,613 shares on January 27, 2019, (iv) 16,620 shares on each of January 25, 2018 and 2019 and (v) 16,621 shares on January 25, 2020. Read SEC document |
| January 27, 2017 Filed Jan 30, 2017 21:14 UTC | WisdomTree, Inc. WETF · Entity 4093 | Tax withholdingCommon Stock | 8,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006108 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Head of Global Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,839 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 vesting as to (i) 14,913 shares on each of July 1, 2017 and 2018, (ii) 20,612 shares on January 27, 2018, (iii) 20,613 shares on January 27, 2019, (iv) 16,620 shares on each of January 25, 2018 and 2019 and (v) 16,621 shares on January 25, 2020. Read SEC document |
| January 25, 2017 Filed Jan 27, 2017 21:25 UTC | WisdomTree, Inc. WETF · Entity 4093 | GrantCommon Stock | 49,861 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-005886 · doc4.xml · nonDerivative · entry 1 MacAlpine Kurt · CIK 0001645443 · Head of Global Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,925 F1 · shares: Restricted stock awarded by Issuer on January 25, 2017 and vesting as to (i) 16,620 shares on each of January 25, 2018 and 2019 and (ii) 16,621 shares on January 25, 2020. F2 · balance_after: Includes restricted stock awards vesting as to (i) 14,913 shares on each of July 1, 2017 and 2018, (ii) 20,612 shares on each of January 27, 2017 and 2018, (iii) 20,613 shares on January 27, 2019, (iv) 16,620 shares on each of January 25, 2018 and 2019 and (v) 16,621 shares on January 25, 2020. 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.