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WisdomTree (WT) CLO granted stock, PRSUs and withholds shares for taxes

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

WisdomTree, Inc. Chief Legal Officer reports equity awards and tax withholding. On January 25, 2026, Chief Legal Officer Marci Frankenthaler received 31,612 shares of WisdomTree common stock as restricted stock awards at a stated price of $0.0000 per share, and 10,537 performance-based restricted stock units, each representing the right to receive one share of common stock upon vesting. On the same date, 25,134 shares of common stock were surrendered to WisdomTree to cover withholding taxes upon vesting of prior restricted stock awards, also at a stated price of $0.0000. Following these transactions, Frankenthaler directly beneficially owned 294,163 shares of common stock and 10,537 performance-based restricted stock units, with the restricted stock and PRSUs subject to multi-year vesting schedules tied to time and relative total shareholder return.

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Insider Frankenthaler Marci
Role Chief Legal Officer
Type Security Shares Price Value
Grant/Award Performance Based Restricted Stock Units 10,537 $0.00 --
Grant/Award Common Stock 31,612 $0.00 --
Tax Withholding Common Stock 25,134 $0.00 --
Holdings After Transaction: Performance Based Restricted Stock Units — 10,537 shares (Direct); Common Stock — 319,297 shares (Direct)
Footnotes (1)
  1. Restricted stock awarded by Issuer on January 25, 2026 and vesting as to (i) 10,537 shares on each of January 25, 2027 and January 25, 2028 and (ii) 10,538 shares on January 25, 2029. Includes restricted stock awards vesting as to (i) 51,943 shares on January 25, 2027, (ii) 28,277 shares on January 25, 2028 and (iii) 10,538 shares on January 25, 2029. Surrender of common stock to Issuer upon vesting of restricted stock awards to cover withholding taxes. 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. These performance-based restricted stock units ("PRSUs") are scheduled to vest on January 25, 2029. 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.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Frankenthaler Marci
(Last) (First) (Middle)
250 WEST 34TH STREET, 3RD FLOOR
C/O WISDOMTREE, INC.
(Street)
NEW YORK NY 10119
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
WisdomTree, Inc. [ WT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Legal Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/25/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/25/2026 A 31,612(1) A $0.0000 319,297(2) D
Common Stock 01/25/2026 F 25,134(3) D $0.0000 294,163(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance Based Restricted Stock Units (4) 01/25/2026 A 10,537 (5) (5) Common Stock 10,537 $0.0000 10,537 D
Explanation of Responses:
1. Restricted stock awarded by Issuer on January 25, 2026 and vesting as to (i) 10,537 shares on each of January 25, 2027 and January 25, 2028 and (ii) 10,538 shares on January 25, 2029.
2. Includes restricted stock awards vesting as to (i) 51,943 shares on January 25, 2027, (ii) 28,277 shares on January 25, 2028 and (iii) 10,538 shares on January 25, 2029.
3. Surrender of common stock to Issuer upon vesting of restricted stock awards 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, 2029. 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.
/s/ Marci Frankenthaler 01/27/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

How do the new restricted stock awards for WisdomTree (WT) vest?

The restricted stock awarded on January 25, 2026 vests as follows: 10,537 shares on January 25, 2027, 10,537 shares on January 25, 2028, and 10,538 shares on January 25, 2029, assuming continued service and any applicable conditions are met.

What are the terms of the performance-based RSUs granted to the WisdomTree (WT) CLO?

Each PRSU represents the right to receive one share of WisdomTree common stock upon vesting. The 10,537 PRSUs granted are scheduled to vest on January 25, 2029, with between 0% and 200% of the target number potentially vesting based on total shareholder return of the stock versus a peer group over a 3-year period from the grant date.

Why were 25,134 WisdomTree (WT) shares surrendered in this Form 4?

The 25,134 shares of common stock reported with transaction code "F" were surrendered to WisdomTree upon the vesting of restricted stock awards to cover withholding taxes, rather than being sold on the open market.

How is vesting of the PRSUs for WisdomTree (WT) determined if employment ends or a change of control occurs?

If the reporting person’s employment ends under certain circumstances or a change of control occurs before the third anniversary of the grant date, all or a portion of the PRSUs may vest early. The number of shares issued is then determined based on total shareholder return of WisdomTree stock and the peer group from the grant date to the accelerated vesting date.