SEC Contract Filing

Filing Date: 2017-05-08

Document Content:
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<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>d379196dex101.htm
<DESCRIPTION>EX-10.1
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<TITLE>EX-10.1</TITLE>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>EXHIBIT 10.1 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>WISDOMTREE ASSET MANAGEMENT, INC. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>245 Park Avenue, 35<SUP STYLE="font-size:85%; vertical-align:top">th</SUP> Floor </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>New York, New York 10167 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">May&nbsp;5, 2017 </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">[Name] </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Dear [Name]: </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Reference is made to the letter
agreement, dated [December 22, 2016][January&nbsp;26, 2017] (&#147;Letter&#148;), between you and WisdomTree Asset Management, Inc. (&#147;WTAM&#148;), relating to your employment with WTAM. Capitalized terms used and not defined in this amendment
to the letter (&#147;Amendment&#148;) have the respective meanings assigned to them in the Letter. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The terms of this Amendment are as
follows: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">1.</TD>
<TD ALIGN="left" VALIGN="top">Section 12(c) of the Letter is hereby amended to read as follows: </TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">&#147;(i) the <FONT
STYLE="white-space:nowrap">Non-Triggering</FONT> Amount less the product of the aggregate marginal rate of any applicable federal, state and local income taxes times the <FONT STYLE="white-space:nowrap">Non-Triggering</FONT> Amount would be greater
than (ii)&nbsp;the aggregate value of the Change of Control Benefits (without such reduction) minus (x)&nbsp;the aggregate amount of tax required to be paid by you thereon by Section&nbsp;4999 of the Code (or any successor provision thereto) and any
similar excise tax imposed by state or local law and further minus (y)&nbsp;the product of the Change of Control Benefits times the aggregate marginal rate of any applicable federal, state and local income taxes; then&#148; </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">2.</TD>
<TD ALIGN="left" VALIGN="top">Paragraph 2 of Exhibit A to the Letter (Form of Release Agreement) is hereby amended to read as follows: </TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">&#147;Pursuant to and as a part of Employee&#146;s complete, total release and discharge of the Primary Releasees as set forth in Paragraph 1
above, and as part of Employee&#146;s limited release and discharge of the Secondary Releasees as set forth in Paragraph 1, Employee expressly agrees, to the fullest extent permitted by law, not to sue, file a charge, claim, complaint, grievance or
demand for arbitration in any forum or to assist or otherwise participate willingly or voluntarily in any claim, arbitration, suit, action, charge, complaint, investigation or other proceeding of any kind which relates to (i)&nbsp;any matter that
involves the Primary Releasees and that occurred on or before the Effective Date of this Release and (ii)&nbsp;any matter that involves the Secondary Releasees and relates to Employee&#146;s employment by WisdomTree and that occurred on or before
the Effective Date of this Release. Employee represents that Employee has not filed or initiated any such proceedings against any of the Releasees as of the Effective Date. Nothing in this Release shall be interpreted or applied to prohibit Employee
from making any good faith report to any governmental agency or other governmental entity concerning any acts or omissions that Employee may believe to constitute a possible violation of federal or state
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law or making other disclosures that are protected under the whistleblower provisions of applicable federal or state law or regulation. Nothing in this Release shall be construed to prohibit
Employee from filing a charge with or participating in any investigation or proceeding conducted by the Equal Employment Opportunity Commission (&#147;EEOC&#148;) or a comparable state or local agency. Notwithstanding the foregoing, Employee agrees
to waive the right to recover monetary damages in any charge, complaint, or lawsuit filed by Employee or by anyone else on Employee&#146;s behalf with the EEOC or a comparable state or local agency. For the avoidance of doubt, this Release does not
limit Employee&#146;s right to receive an award for information provided to any government agency or entity other than the EEOC or a comparable state or local