IPO registrations (S-1, F-1) · Registrants
WisdomTree, Inc.
- SEC CIK
- 880631 · filings on EDGAR ↗
- Name on the registration
- WisdomTree Investments, Inc.
- Former names
- WisdomTree Investments, Inc. (2009–2022); INDEX DEVELOPMENT PARTNERS INC (2002–2006); INDIVIDUAL INVESTOR GROUP INC (1996–2002)
- Registration
- Form S-1, first filed 2011-10-17, last 2012-01-30; 1 initial registration, 1 amendment
- Outcome
- Final prospectus filed 2012-02-03; declared effective 2012-02-02
- Industry (SIC)
- Security Brokers, Dealers & Flotation Companies 6211
- Incorporated in
- DE
- Business address
- 250 WEST 34TH STREET, 3RD FLOOR, New York, NY 10119
- EIN
- 13-3487784
- Ticker
- WT (NYSE)
- EDGAR entity type
- operating
- Insiders and CEO pay
- WisdomTree, Inc. on the corporate pages
Offering terms
- Final price
- $5.61 per share (424B4 filed 2012-02-03)
- Shares sold
- 14,362,251 (1,000,000 by the company, 13,362,251 by selling holders)
- Gross proceeds
- $80,572,228 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol WETF
- Lead underwriters
- Merrill Lynch; Morgan Stanley (5,026,789 shares)
- Syndicate
- BofA Securities; Barclays (957,483); Citigroup (957,483); UBS (957,483); Piper Sandler (478,741); Sterne Agee; Sandler O’Neill & Partners, L.P (478,741); Sterne, Agee & Leach, Inc (478,741)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: WISDOMTREE, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: WISDOMTREE, INC EXACT (EIN (EXACT))
- SEC filer: WisdomTree, Inc. EXACT (CIK (EXACT))
- Person page: Gregory E Barton Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: R Jarrett Lilien Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Win J Neuger Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 5
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2011-10-17 | S-1 | S-1 (registration) | WisdomTree Investments, Inc. | 0001193125-11-272030 ↗ |
| 2012-01-30 | S-1/A | S-1/A (amendment) | WisdomTree Investments, Inc. | 0001193125-12-028147 ↗ |
| 2012-02-02 | EFFECT | EFFECT (declared effective) | WisdomTree Investments, Inc. | 9999999995-12-000375 ↗ |
| 2012-02-03 | 424B4 | 424B4 (final prospectus) | WisdomTree Investments, Inc. | 0001193125-12-037881 ↗ |
| 2012-11-09 | EFFECT | EFFECT (declared effective) | WisdomTree Investments, Inc. | 9999999995-12-003216 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2012-01-30 | S-1/A | registration statement | 14,362,251 | - | Nasdaq WETF | 8 | primary document; shares headline, cover names 7 | document ↗ | ||
| 2012-02-03 | 424B4 | final prospectus | $5.61 | 14,362,251 | $80,572,228 | Nasdaq WETF | 10 | primary document; price sentence, shares headline, proceeds table, underwriting table 7, cover names 7 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Begleiter Steven L | Director | 17 | 2011–2018 | ||
| Bossone Anthony | Director | 25 | 2011–2026 | ||
| Lavine Bruce I | Director; Director,Officer; DirectorOther | Chief Operating Officer; Vice Chairman | 44 | 2011–2021 | |
| Lilien R Jarrett | Director; Officer | Executive Vice President; President; President and COO | 53 | 2011–2026 | person page Fuzzy |
| Muni Amit | Officer | Chief Financial Officer | 31 | 2011–2021 | |
| Robinson James D IV | Director,TenPercentOwner | 4 | 2011–2012 | ||
| RRE Ventures GP III, LLC | TenPercentOwner | 4 | 2011–2012 | ||
| RRE Ventures III-A, LP | TenPercentOwner | 4 | 2011–2012 | ||
| SALERNO FRANK | Director | 50 | 2011–2026 | ||
| Siracusano Luciano III | Officer | Chief Investment Strategist | 37 | 2011–2018 | |
| Steinberg Jonathan L | Director,Officer | Chief Executive Officer | 74 | 2011–2026 | |
| STEINHARDT MICHAEL H | Director; Director,TenPercentOwner | 47 | 2011–2019 | ||
| Ziemba Peter M | Officer | Chief Administrative Officer; Chief Legal Officer | 71 | 2011–2026 | |
| BARTON GREGORY E | Officer | Chief Legal Officer; Chief Operating Officer | 24 | 2012–2019 | person page Fuzzy |
| NEUGER WIN J | Director | 17 | 2013–2025 | person page Fuzzy | |
| MacAlpine Kurt | Officer | Global Head of Distribution; Head of Global Distribution | 13 | 2015–2019 | |
| Abner David J. | Officer | Head of WisdomTree Europe | 5 | 2018–2019 | |
| Bell Stuart | Officer | Chief Operating Officer; Executive Vice President | 8 | 2018–2020 | |
| Edmiston Bryan | Officer | Chief Accounting Officer; Chief Financial Officer | 19 | 2018–2026 | |
| Shea Brian T | Director | 2 | 2018 | ||
| Schwartz Jeremy | Officer | Global Head of Research | 7 | 2018–2020 | |
| Frankenthaler Marci | Officer | Chief Legal Officer | 19 | 2019–2026 | |
| Cosgrove Susan J | Director | 5 | 2019–2022 | ||
| Silcox Julie | Officer | Chief Marketing Officer | 1 | 2019 | |
| Marinof Alexis | Officer | CEO, Europe; Head of Europe; Head of WisdomTree Europe | 20 | 2019–2026 | |
| Peck William Bradley | Officer | Head of Digital Assets; Head of Strategy/Emerging Tech | 16 | 2020–2026 | |
| ETFS Capital Limited. | Other; TenPercentOwner | 2 | 2020–2024 | ||
| Tuckwell Graham | Officer,TenPercentOwner; Other | Chairman | 2 | 2020–2024 | |
| Conjeevaram Smita | Director | 7 | 2021–2026 | ||
| Singleton Harold III | Director | 3 | 2022–2023 | ||
| Yates David M | Officer | Chief Information Officer | 13 | 2022–2026 | |
| Cederholm Didric | Other | 1 | 2022 | ||
| Lion Point Capital, LP | Other | 1 | 2022 | ||
| Lion Point Holdings GP, LLC | Other | 1 | 2022 | ||
| Blake Lynn S. | Director | 6 | 2022–2026 | ||
| Fuhr Deborah | Director | 2 | 2022 | ||
| Mielke Daniela | Director | 5 | 2022–2026 | ||
| Naidoo Shamla | Director | 5 | 2023–2026 | ||
| PANKOPF TONIA L | Director | 6 | 2023–2026 | ||
| Delorier Rilla S | Director | 5 | 2023–2026 | ||
| Badova Radev Petranka lvanova | Officer | Chief Accounting Officer | 1 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | WISDOMTREE, INC. | NY | State business registries | name and state |
| SEC filer | WisdomTree, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | WISDOMTREE, INC. | NY | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | WISDOMTREE, INC | EIN (EXACT) | ||
| Person page | Gregory E Barton | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | R Jarrett Lilien | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Win J Neuger | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.