Wisdomtree SEC Filings

Azora Capital LP, together with Azora Capital GP LLC and managing member Ravi Chopra, reports beneficial ownership of 7,069,860 shares of WisdomTree, Inc. common stock, representing approximately 4.8% of the outstanding shares based on 147,031,590 shares reported by the issuer. The filing shows shared voting and shared dispositive power for these shares and reports no sole voting or dispositive power. The securities are directly owned by investment funds managed on a discretionary basis by Azora Capital, which the filing identifies as the investment manager and beneficial owner under applicable rules.

Lilien R Jarrett, President and COO of WisdomTree, sold 25,000 shares of WT common stock at $13.33 on 08/12/2025, leaving direct beneficial ownership of 1,048,638 shares. The filing states the sale was executed pursuant to a Rule 10b5-1 trading plan established on 02/25/2025, meaning the reporting person had no discretion over the timing of this transaction.

The report also discloses restricted stock awards vesting as to 155,950 shares on 01/25/2026, 90,787 shares on 01/25/2027, and 35,941 shares on 01/25/2028. All sales are noted as subject to the issuer's equity ownership requirements.

WisdomTree (WT) submitted a Rule 144 notice showing an insider intends to sell 25,000 common shares with an aggregate market value of $333,250. The sale is expected to be executed approximately on 08/12/2025 through Fidelity Brokerage Services LLC. The shares were acquired on 01/29/2024 by restricted stock vesting and the payment is recorded as compensation. The filer reports no securities sold in the past three months. The notice includes the standard representation that the seller does not possess undisclosed material information and references Rule 10b5-1 plan adoption language.

WisdomTree, Inc. (WT) announced that it priced an offering of $415 million aggregate principal amount of convertible senior notes due 2030 and that the initial purchasers exercised their option to purchase an additional $60 million aggregate principal amount of the Notes, increasing the aggregate principal amount associated with the offering. The announcement is documented in a press release filed as Exhibit 99.1 to the current report.

The filing identifies the notes as convertible senior notes maturing in 2030, indicating the company has arranged long-term financing through convertible debt. The 8-K discloses the principal amounts and maturity year but does not provide interest rate, conversion terms, use of proceeds, or the expected accounting or dilution impact; those details are referenced as contained in the press release exhibit.

On August 11, 2025, WisdomTree, Inc. announced a private Rule 144A offering of $400 million aggregate principal amount of convertible senior notes due 2030 to qualified institutional buyers, with the related press release filed as Exhibit 99.1. The company intends to use $275.0 million of net proceeds to pay the closing consideration for its previously announced acquisition of Ceres Partners, LLC, up to $25.8 million to repurchase the remaining outstanding 5.75% convertible senior notes due 2028, and approximately $80.0 million to repurchase common shares from certain purchasers of the Notes.

Any remaining net proceeds are intended for working capital and other general corporate purposes, which may include repayment of indebtedness, including its 3.25% convertible senior notes due 2026 and 2029. The offering is subject to market conditions and other factors, and if the Acquisition is not consummated the proceeds that would have financed the Acquisition will instead be used for general corporate purposes. The press release is attached as Exhibit 99.1 to the report.

WisdomTree (WT) Q2-25 Form 10-Q snapshot

• Revenue rose 5% YoY to $112.6 mn; advisory fees +4% to $103.2 mn.
• Operating income +3% to $34.6 mn, producing a 30.7% operating margin.
• Net income grew 13.9% to $24.8 mn; diluted EPS $0.17 vs $0.13 (+31%).
• H1-25 revenue $220.7 mn (+8%) and net income $49.4 mn (+13%).
• Cash flow: Operating cash inflow jumped to $45.2 mn (vs $31.2 mn); cash & equivalents now $193.7 mn.
• Capital returns: $12.7 mn buybacks and $0.06 per-share dividends YTD cut diluted share count 12% YoY to 146.6 mn.
• Balance sheet: Assets $1.07 bn; equity $445 mn. Convertible notes outstanding $520.8 mn; $149 mn 2026 tranche reclassified as current liability.
• Costs: Interest expense +32% YoY to $5.5 mn; Q2 acquisition-related costs $2.0 mn tied to planned Ceres Partners deal.
• OCI: $3.6 mn FX translation gain lifted comprehensive income to $28.3 mn.

Solid top-line growth, margin stability, stronger cash generation and accretive buybacks outweighed higher financing costs and near-term debt maturity risk.

WisdomTree, Inc. (NYSE: WT) filed an 8-K disclosing the final voting results of its 2025 Annual Meeting held on June 17, 2025. A quorum of 123,786,345 shares (84.19% of outstanding) was present. Stockholders acted on three governance items:

• Election of nine directors: All company-nominated directors were elected to serve until the 2026 meeting. Support ranged from 89.83% (Anthony Bossone) to 99.36% (Lynn S. Blake) of votes cast, excluding broker non-votes.
• Auditor ratification: Ernst & Young LLP was re-appointed with 99.38% of votes cast (122,988,956 for / 766,989 against).
• Say-on-Pay advisory vote: Compensation of named executive officers received 89.76% support (105,656,134 for / 12,052,631 against).

No other matters or material transactions were reported. The filing is limited to Item 5.07 and does not provide financial or operational updates.