WisdomTree CLO vests 43,998 performance stock units

WisdomTree, Inc. Chief Legal Officer Marci Frankenthaler reported the vesting of performance-based restricted stock units and related share movements.

Rhea-AI Filing Summary

WisdomTree, Inc. Chief Legal Officer Marci Frankenthaler reported the vesting of performance-based restricted stock units and related share movements. On January 27, 2026, 43,998 PRSUs granted in January 2023 converted into 43,998 shares of common stock after a three-year performance period tied to relative total shareholder return.

Upon vesting, 22,889 common shares were withheld by WisdomTree to cover taxes, leaving Frankenthaler with 315,272 common shares owned directly after the transactions. This total includes restricted stock awards scheduled to vest in tranches of 51,943 shares on January 25, 2027, 28,277 shares on January 25, 2028, and 10,538 shares on January 25, 2029.

Insider Trade Summary

43,998 shares exercised/converted

Exercise 3 txns

Insider Frankenthaler Marci

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Exercise	Performance Based Restricted Stock Units	43,998	$0.00	$0.00
Exercise	Common Stock	43,998	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	22,889	$0.00	$0.00

Holdings After Transaction: Performance Based Restricted Stock Units — 0 contracts (Direct); Common Stock — 315,272 shares (Direct)

Footnotes (5)

1. F1. Each performance-based restricted stock unit ("PRSU") represented the right to receive, on the vesting date, one share of common stock for each such unit that vested.
2. F2. Includes the reinvestment of dividend equivalents into 1,838 PRSUs between the grant date and vesting date.
3. F3. 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.
4. F4. Shares withheld by the Issuer upon vesting of PRSUs to cover withholding taxes.
5. F5. These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's 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 ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did WisdomTree (WT) Chief Legal Officer Marci Frankenthaler report on this Form 4?

Marci Frankenthaler reported vesting of performance-based restricted stock units that converted into common stock. On January 27, 2026, 43,998 PRSUs vested and became WisdomTree common shares, with a portion withheld to cover taxes and the remainder added to her directly owned holdings.

How many WisdomTree shares did Marci Frankenthaler receive from PRSU vesting?

Frankenthaler received 43,998 WisdomTree common shares when her performance-based restricted stock units vested. Each PRSU converted into one share based on a three-year performance period, with the final payout equal to 199% of the previously reported target number of PRSUs.

Why were 22,889 WisdomTree shares withheld in Marci Frankenthaler’s Form 4?

The 22,889 WisdomTree shares shown with transaction code F were withheld by the issuer to cover withholding taxes upon vesting of PRSUs. This is a non-open-market transaction where shares are retained instead of cash to satisfy tax obligations on the equity award.

What performance criteria determined the vesting of Marci Frankenthaler’s PRSUs at WisdomTree (WT)?

The PRSUs vested based on WisdomTree’s total shareholder return relative to a peer group over a three-year period from the January 25, 2023 grant date. Relative TSR landed in the 84.62nd percentile, leading to vesting at 199% of the original target PRSU amount.

How many WisdomTree (WT) shares does Marci Frankenthaler own after these transactions?

After the January 27, 2026 transactions, Frankenthaler directly owns 315,272 WisdomTree common shares. This figure includes restricted stock awards scheduled to vest in future tranches in 2027, 2028, and 2029, as detailed in the footnotes describing those remaining unvested restricted stock awards.

When were Marci Frankenthaler’s performance-based RSUs granted and when did they vest?

The performance-based restricted stock units were granted on January 25, 2023 and vested on January 25, 2026. The number of shares ultimately vesting depended on relative total shareholder return over that three-year period, within a range of 0% to 200% of the target award.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 01/29/2026 - 04:41 PM Learn about SEC filing dates

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)

C/O WISDOMTREE, INC.

250 WEST 34TH STREET, 3RD FLOOR

(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)
01/27/2026

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	01/27/2026		M		43,998(1)(2)	A	$0.0000	338,161(3)	D
Common Stock	01/27/2026		F		22,889(4)	D	$0.0000	315,272(3)	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	(5)	01/27/2026		M			43,998(1)(2)(5)	(5)	(5)	Common Stock	43,998(1)(2)(5)	$0.0000	0.0000	D

Explanation of Responses:

1. Each performance-based restricted stock unit ("PRSU") represented the right to receive, on the vesting date, one share of common stock for each such unit that vested.

2. Includes the reinvestment of dividend equivalents into 1,838 PRSUs between the grant date and vesting date.

3. 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.

4. Shares withheld by the Issuer upon vesting of PRSUs to cover withholding taxes.

5. These PRSUs were granted by the Issuer on January 25, 2023 and vested on January 25, 2026. The ultimate number of shares that could have vested was between 0 and 200% of the previously reported target number of PRSUs based on the total shareholder return ("TSR") of the Issuer's 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 ("Relative TSR"). Based on a report issued by an independent valuation specialist and certified by the Issuer's compensation committee on January 27, 2026, the Relative TSR measured in the 84.62nd percentile, resulting in the vesting of 199% of the target number of PRSUs.

	/s/ Marci Frankenthaler	01/29/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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