# EDGAR Filing Document

**Accession Number:** 0001784344
**File Stem:** 0001664272-23-000028
**Filing Date:** 2023-1
**Character Count:** 7723
**Document Hash:** 531887dbadc367ea30742ef2258e7f13
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001664272-23-000028.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001664272-23-000028

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230125

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Marinof Alexis
- **CENTRAL INDEX KEY:** 0001784344

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-10932
- **FILM NUMBER:** 23563936

**MAIL ADDRESS:**
- **STREET 1:** 250 WEST 34TH STREET, 3RD FLOOR
- **STREET 2:** C/O WISDOMTREE, INC.
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10119
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** WisdomTree, Inc.
- **CENTRAL INDEX KEY:** 0000880631
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **IRS NUMBER:** 133487784
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**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:** WisdomTree Investments, Inc.
- **DATE OF NAME CHANGE:** 20090401

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INDEX DEVELOPMENT PARTNERS INC
- **DATE OF NAME CHANGE:** 20020812

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FINANCIAL DATA SYSTEMS
- **DATE OF NAME CHANGE:** 19951120

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Marinof Alexis<br><sub>(Last) (First) (Middle)</sub><br>C/O WISDOMTREE, INC.<br>250 WEST 34TH STREET, 3RD FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10119<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Head of Europe_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>WisdomTree, Inc. [ WT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-25 |  | F |  | 16169<sup>(3)</sup> | D | $0 | 195818<sup>(2)</sup> | D |  |
| Common Stock | 2023-01-25 |  | A |  | 76535<sup>(1)</sup> | A | $0 | 211987<sup>(2)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Based Restricted Stock Units | <sup>(4)</sup> | 2023-01-25 |  | A |  | 25511 |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 25511 | $0 | 25511 | D |  |

---

### Footnotes:

(1) Restricted stock awarded by Issuer on January 25, 2023 and vesting as to (i) 25,511 shares on each of January 25, 2024 and January 25, 2025 and (ii) 25,513 shares on January 25, 2026.

(2) Includes restricted stock awards vesting as to (i) 57,189 shares on January 25, 2024, (ii) 41,533 shares on January 25, 2025 and (iii) 25,513 shares on January 25, 2026.

(3) Surrender of common stock to Issuer upon vesting of restricted stock award to cover withholding taxes.

(4) 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.

(5) 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.

**Signature:** /s/ Marci Frankenthaler, Attorney-in-Fact  
**Date:** 2023-01-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**