# EDGAR Filing Document

**Accession Number:** 0001846640
**File Stem:** 0001846640-25-000008
**Filing Date:** 2025-7
**Character Count:** 9173
**Document Hash:** c4261b3bfe44431be72202a13c61c883
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001846640-25-000008.hdr.sgml**: 20250915

**ACCESSION NUMBER**: 0001846640-25-000008

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250723

**DATE AS OF CHANGE**: 20250915

**EFFECTIVENESS DATE**: 20250802

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** WisdomTree Transfers, Inc.
- **CENTRAL INDEX KEY:** 0001846640

**ORGANIZATION NAME:**
- **EIN:** 850976184
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06766
- **FILM NUMBER:** 251314283

**BUSINESS ADDRESS:**
- **STREET 1:** 250 WEST 34TH STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10119
- **BUSINESS PHONE:** 212-801-2080

**MAIL ADDRESS:**
- **STREET 1:** 250 WEST 34TH STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10119

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Securrency Transfers, Inc./ta
- **DATE OF NAME CHANGE:** 20210217

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** WisdomTree Transfers, Inc.

**FINS Number:** 003681

**Address of principal office where transfer agent activities are performed:** 250 West 34th Street, 3rd Floor, New York, NY, 10119

**Is mailing address different from principal office address?:** No

**Telephone Number:** 2128012080

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** Yes

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name           | Relationship Start Date   | Title or Status                       | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| WisdomTree, Inc.      | 04/11/2023                | Sole Shareholder                      | E                | Yes              |  |
| William Peck          | 04/11/2023                | Chief Executive Officer               | NA               | Yes              |  |
| Francis (Chris) Ryder | 10/01/2021                | President                             | NA               | Yes              |  |
| Ryan Louvar           | 04/11/2023                | Chief Legal Officer and Secretary     | NA               | Yes              |  |
| Bryan Edmiston        | 04/11/2023                | Chief Financial Officer and Treasurer | NA               | Yes              |  |
| Brian Moran           | 02/03/2022                | Chief Compliance Officer              | NA               |  | 09/30/2023              |
| Peter Ziemba          | 04/11/2023                | Director                              | NA               | Yes              |  |
| Stuart Bell           | 04/11/2023                | Director                              | NA               | Yes              |  |
| Derek Ibsch           | 10/01/2023                | Chief Compliance Officer              | NA               |  |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** WisdomTree Asset Management, Inc.

    - **Action Title:** Settlement of Administrative Proceeding

    - **Action Date:** 10/21/2024

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** On October 21, 2024, WisdomTree Asset Management, Inc. ("WTAM") entered into a settlement with the SEC related to alleged misstatements by WTAM regarding the ESG screening process employed by by three exchanged-traded series of WisdomTree Trust managed by WTAM (the "Funds"). The Funds were liquidated in February 2024. WTAM entered into the settlement without admitting or denying the SEC's allegations that WTAM violated sections 206(2) and 206(4) of the Investment Advisers Act of 1940, and Rules 206(4)-7 and 206(4)-8 thereunder, and Section 34(b) of the Investment Company Act of 1940. The SEC alleged that from March 2020 until November 2022, WTAM misstated to the Funds' Board of Trustees and investors that the Funds' ESG screening process, which used data from third-party vendors, failed to exclude all such companies. The SEC further alleged that WTAM did not adopt and implement policies and procedures concerning the process for excluding such companies from the Funds' portfolios and, more broadly, for its ESG investment process. In resolving these findings, WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million.

    - **Disposition:** WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM paid the civil money penalty on October 22, 2024

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** WisdomTree Asset Management, Inc.

    - **Action Title:** Settlement of Administrative Proceeding

    - **Action Date:** 10/21/2024

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** On October 21, 2024, WisdomTree Asset Management, Inc. ("WTAM") entered into a settlement with the SEC related to alleged misstatements by WTAM regarding the ESG screening process employed by three exchange-traded series of WisdomTree Trust managed by WTAM (the "Funds"). The Funds were liquidated in February 2024. WTAM entered into the settlement without admitting or denying the SEC's allegations that WTAM violated Sections 206(2) and 206 (4) of the Investment Advisers Act of 1940, and Rules 206(4)-7 and 206(4)-8 thereunder, and Section 34(b) of the Investment Company Act of 1940. The SEC alleged that from March 2020 until November 2022, WTAM misstated to the Funds' Board of Trustees and investors that the Funds would not invest in companies that were "involved in certain controversial products or activities" when the Funds' ESG screening process, which used data from third-party vendors, failed to exclude all such companies. The SEC further alleged that WTAM did not adopt and implement policies and procedures concerning the process for excluding such companies from the Funds' portfolios and, more broadly, for its ESG investment process. In resolving these findings, WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million.

    - **Disposition:** WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM paid the civil money penalty on October 22, 2024.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** DereK A. Ibsch

**Title:** Chief Compliance Officer

**Date:** 07/23/2025

**Phone Number:** 9172673707