TapewireFind a company

person · Reporting owner

Yates David M

Disclosed activity across 1 company

Tapewire entity
49467
SEC CIK
0001916322

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
WisdomTree, Inc.WT · Entity 4093Chief Information OfficerMay 05, 2026May 06, 2026

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 May 05, 2026 · Filed May 06, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect157,499 Reported balance After 2026-05-05 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-05-05 · Sale · Disposed 15,000 · Balance 157,499

F1: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Filing footnotes · ownership attribution and instrument terms

F1: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Transaction history

JSON API
Reset

Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 05, 2026 Filed May 6, 2026 20:56 UTC WisdomTree, Inc. WT · Entity 4093 SaleCommon Stock 15,000 $18.06 $270,900.00
Disclosure

SEC source: 0001916322-26-000011 · f4_a1eus000008hlzfma2-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,499

F1 · balance_after: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Read SEC document
February 23, 2026 Filed Feb 25, 2026 21:55 UTC WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 2,673 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000008 · f4_a1eus0000085khdmam-live.xml · derivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,673

Underlying: Common Stock · 2,673 shares

Expires not disclosed

F1 · security: On January 25, 2026, the Compensation Committee of the Issuer's Board of Directors approved a grant of performance-based restricted stock units ("PRSUs") initially reported on a Form 4 filed January 27, 2026 and amended February 24, 2026 ("Prior Form 4"), with the target number of PRSUs determined based on the grant-date fair value calculated using a Monte Carlo valuation methodology. On February 23, 2026, the Compensation Committee approved a change in the methodology for determining PRSU target shares to one based on the Issuer's grant date closing stock price and, in connection with that change, approved a separate, additional grant of PRSUs to the Reporting Person equal to the difference between (i) the target number of PRSUs reported in the Prior Form 4 and (ii) the target number of PRSUs determined using the Issuer's closing stock price on January 25, 2026. This grant is intended to qualify for the Rule 16b-3 exemption under the Securities Exchange Act of 1934.

F2 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each unit that vests.

F3 · derivative.exercise_date: These PRSUs are scheduled to vest on February 23, 2029. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 will be determined at such time based on the respective TSRs of the Common Stock and the stock of the peer group, each measured from the grant date to the accelerated vesting date.

F3 · derivative.expiration_date: These PRSUs are scheduled to vest on February 23, 2029. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 will be determined at such time based on the respective TSRs of the Common Stock and the stock of the peer group, each measured from the grant date to the accelerated vesting date.

Read SEC document
January 27, 2026 Filed Jan 29, 2026 21:43 UTC WisdomTree, Inc. WT · Entity 4093 Exercise / conversionPerformance Based Restricted Stock Units · Derivative 37,997 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000004 · f4_a1eus000007t4n7mai-live.xml · derivative · entry 3

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,997 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's common stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a 3-year period from the grant date ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

F1 · shares: Each performance-based restricted stock unit ("PRSU") represented the right to receive, on the vesting date, one share of common stock for each such unit that vested.

F2 · shares: Includes the reinvestment of dividend equivalents into 1,586 PRSUs between the grant date and vesting date.

F5 · shares: These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's common stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a 3-year period from the grant date ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

F5 · derivative.exercise_date: These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's common stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a 3-year period from the grant date ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

F5 · derivative.expiration_date: These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's common stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a 3-year period from the grant date ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

F1 · derivative.underlying_shares: Each performance-based restricted stock unit ("PRSU") represented the right to receive, on the vesting date, one share of common stock for each such unit that vested.

F2 · derivative.underlying_shares: Includes the reinvestment of dividend equivalents into 1,586 PRSUs between the grant date and vesting date.

F5 · derivative.underlying_shares: These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's common stock relative to the respective TSRs of the stocks of a peer group of companies, each measured over a 3-year period from the grant date ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

Read SEC document
January 27, 2026 Filed Jan 29, 2026 21:43 UTC WisdomTree, Inc. WT · Entity 4093 Tax withholdingCommon Stock 19,816 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000004 · f4_a1eus000007t4n7mai-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,499

F4 · shares: Shares withheld by the Issuer upon vesting of PRSUs to cover withholding taxes.

F3 · balance_after: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Read SEC document
January 27, 2026 Filed Jan 29, 2026 21:43 UTC WisdomTree, Inc. WT · Entity 4093 Exercise / conversionCommon Stock 37,997 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000004 · f4_a1eus000007t4n7mai-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,315

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 · shares: Each performance-based restricted stock unit ("PRSU") represented the right to receive, on the vesting date, one share of common stock for each such unit that vested.

F2 · shares: Includes the reinvestment of dividend equivalents into 1,586 PRSUs between the grant date and vesting date.

F3 · balance_after: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Read SEC document
January 25, 2026 Filed Jan 27, 2026 17:29 UTC WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 7,562 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000002 · f4_a1eus000007rxjzma2-live.xml · derivative · entry 3

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,562

Underlying: Common Stock · 7,562 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F5 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2029. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

F5 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2029. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

Read SEC document
January 25, 2026 Filed Jan 27, 2026 17:29 UTC WisdomTree, Inc. WT · Entity 4093 Tax withholdingCommon Stock 20,493 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000002 · f4_a1eus000007rxjzma2-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,318

F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock awards to cover withholding taxes.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Read SEC document
January 25, 2026 Filed Jan 27, 2026 17:29 UTC WisdomTree, Inc. WT · Entity 4093 GrantCommon Stock 22,688 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000002 · f4_a1eus000007rxjzma2-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,811

F1 · shares: Restricted stock awarded by Issuer on January 25, 2026 and vesting as to (i) 7,562 shares on each of January 25, 2027 and January 25, 2028 and (ii) 7,564 shares on January 25, 2029.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.

Read SEC document
January 25, 2026 Filed Feb 24, 2026 21:40 UTC Amendment WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 4,889 $0.00 $0.00
Disclosure

SEC source: 0001916322-26-000006 · f4a_a1eus000007wnsxmay-live.xml · derivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,889

Underlying: Common Stock · 4,889 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F2 · derivative.exercise_date: These PRSUs are scheduled to vest on January 25, 2029. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

F2 · derivative.expiration_date: These PRSUs are scheduled to vest on January 25, 2029. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

Read SEC document
December 02, 2025 Filed Dec 3, 2025 21:32 UTC WisdomTree, Inc. WT · Entity 4093 SaleCommon Stock 6,820 $11.13 $75,872.50
Disclosure

SEC source: 0001916322-25-000003 · f4_a1eus000007l1ptmac-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,123

F2 · balance_after: Includes restricted stock awards vesting as to (i) 49,502 shares on January 25, 2026, (ii) 28,297 shares on January 25, 2027 and (iii) 11,554 shares on January 25, 2028.

Read SEC document
December 02, 2025 Filed Dec 3, 2025 21:32 UTC WisdomTree, Inc. WT · Entity 4093 GiftCommon Stock 9,100 $0.00 $0.00
Disclosure

SEC source: 0001916322-25-000003 · f4_a1eus000007l1ptmac-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,943

F1 · price: Shares transferred by the Reporting Person as a bona fide gift without consideration.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 49,502 shares on January 25, 2026, (ii) 28,297 shares on January 25, 2027 and (iii) 11,554 shares on January 25, 2028.

Read SEC document
January 25, 2025 Filed Jan 27, 2025 21:07 UTC WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 11,554 $0.00 $0.00
Disclosure

SEC source: 0001664272-25-000036 · f4_a1eus000003ew13mae-live.xml · derivative · entry 3

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,554

Underlying: Common Stock · 11,554 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F5 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2028. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

F5 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2028. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

Read SEC document
January 25, 2025 Filed Jan 27, 2025 21:07 UTC WisdomTree, Inc. WT · Entity 4093 Tax withholdingCommon Stock 21,052 $0.00 $0.00
Disclosure

SEC source: 0001664272-25-000036 · f4_a1eus000003ew13mae-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,043

F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock awards to cover withholding taxes.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 49,502 shares on January 25, 2026, (ii) 28,297 shares on January 25, 2027 and (iii) 11,554 shares on January 25, 2028.

Read SEC document
January 25, 2025 Filed Jan 27, 2025 21:07 UTC WisdomTree, Inc. WT · Entity 4093 GrantCommon Stock 34,662 $0.00 $0.00
Disclosure

SEC source: 0001664272-25-000036 · f4_a1eus000003ew13mae-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,095

F1 · shares: Restricted stock awarded by Issuer on January 25, 2025 and vesting as to 11,554 shares on each of January 25, 2026, January 25, 2027 and January 25, 2028.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 49,502 shares on January 25, 2026, (ii) 28,297 shares on January 25, 2027 and (iii) 11,554 shares on January 25, 2028.

Read SEC document
January 25, 2025 Filed Feb 12, 2025 21:44 UTC Amendment WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 10,517 $0.00 $0.00
Disclosure

SEC source: 0001664272-25-000079 · f4a_a1eus000003r32tmaa-live.xml · derivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,517

Underlying: Common Stock · 10,517 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F2 · derivative.exercise_date: These PRSUs are scheduled to vest on January 25, 2028. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

F2 · derivative.expiration_date: These PRSUs are scheduled to vest on January 25, 2028. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

Read SEC document
January 25, 2024 Filed Jan 29, 2024 21:25 UTC WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 16,742 $0.00 $0.00
Disclosure

SEC source: 0001664272-24-000061 · f4_a1e2k00000wi753uad-live.xml · derivative · entry 3

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,742

Underlying: Common Stock · 16,742 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F5 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2027. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

F5 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2027. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

Read SEC document
January 25, 2024 Filed Jan 29, 2024 21:25 UTC WisdomTree, Inc. WT · Entity 4093 GrantCommon Stock 50,227 $0.00 $0.00
Disclosure

SEC source: 0001664272-24-000061 · f4_a1e2k00000wi753uad-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,711

F1 · shares: Restricted stock awarded by Issuer on January 25, 2024 and vesting as to (i) 16,742 shares on each of January 25, 2025 and January 25, 2026 and (ii) 16,743 shares on January 25, 2027.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 50,163 shares on January 25, 2025, (ii) 37,948 shares on January 25, 2026 and (iii) 16,743 shares on January 25, 2027.

Read SEC document
January 25, 2024 Filed Jan 29, 2024 21:25 UTC WisdomTree, Inc. WT · Entity 4093 Tax withholdingCommon Stock 17,278 $0.00 $0.00
Disclosure

SEC source: 0001664272-24-000061 · f4_a1e2k00000wi753uad-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,433

F3 · shares: Surrender of common stock to Issuer upon vesting of restricted stock awards to cover withholding taxes.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 50,163 shares on January 25, 2025, (ii) 37,948 shares on January 25, 2026 and (iii) 16,743 shares on January 25, 2027.

Read SEC document
January 25, 2024 Filed Feb 23, 2024 21:07 UTC Amendment WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 13,848 $0.00 $0.00
Disclosure

SEC source: 0001664272-24-000150 · f4a_a1e2k00000wi7leuat-live.xml · derivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,848

Underlying: Common Stock · 13,848 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F2 · derivative.exercise_date: These PRSUs are scheduled to vest on January 25, 2027. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

F2 · derivative.expiration_date: These PRSUs are scheduled to vest on January 25, 2027. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:52 UTC WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 21,205 $0.00 $0.00
Disclosure

SEC source: 0001664272-23-000031 · f4_a1e2k00000rxpvtuat-live.xml · derivative · entry 3

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,205

Underlying: Common Stock · 21,205 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F5 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2026. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

F5 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2026. The target number of PRSUs is reported on this form. Between 0% and 200% of the target number of PRSUs may vest and the number of shares of the Issuer's common stock ("Common Stock") to be issued 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 3-year period from the grant date. If the Reporting Person's employment is terminated under certain circumstances or a change of control occurs prior to the 3rd 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 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.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:52 UTC WisdomTree, Inc. WT · Entity 4093 GrantCommon Stock 63,616 $0.00 $0.00
Disclosure

SEC source: 0001664272-23-000031 · f4_a1e2k00000rxpvtuat-live.xml · nonDerivative · entry 2

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,608

F1 · shares: Restricted stock awarded by Issuer on January 25, 2023 and vesting as to (i) 21,205 shares on each of January 25, 2024 and January 25, 2025 and (ii) 21,206 shares on January 25, 2026.

F2 · balance_after: Includes restricted stock awards vesting as to (i) 40,434 shares on January 25, 2024, (ii) 33,421 shares on January 25, 2025 and (iii) 21,206 shares on January 25, 2026.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:52 UTC WisdomTree, Inc. WT · Entity 4093 Tax withholdingCommon Stock 11,124 $0.00 $0.00
Disclosure

SEC source: 0001664272-23-000031 · f4_a1e2k00000rxpvtuat-live.xml · nonDerivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,484

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) 40,434 shares on January 25, 2024, (ii) 33,421 shares on January 25, 2025 and (iii) 21,206 shares on January 25, 2026.

Read SEC document
January 25, 2023 Filed Mar 3, 2023 21:30 UTC Amendment WisdomTree, Inc. WT · Entity 4093 GrantPerformance Based Restricted Stock Units · Derivative 18,297 $0.00 $0.00
Disclosure

SEC source: 0001664272-23-000191 · f4a_a1e2k00000rxrn9ual-live.xml · derivative · entry 1

Yates David M · CIK 0001916322 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,297

Underlying: Common Stock · 18,297 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance-based restricted stock unit ("PRSU") represents the right to receive, on the vesting date, one share of common stock for each such unit that vests.

F2 · derivative.exercise_date: These PRSUs are scheduled to vest on January 25, 2026. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

F2 · derivative.expiration_date: These PRSUs are scheduled to vest on January 25, 2026. The number of shares of Common Stock to be issued will range between 0% and 200% of the target number of PRSUs indicated above. This Amendment to Form 4 is being filed to update the target number of PRSUs to reflect the grant date fair market value of the PRSUs as determined by an independent valuation consultant.

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.