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  4. [Form 4] WisdomTree, Inc. Insider Trading Activity

WT President & COO sells 25k shares under 10b5-1; retains 1.05M holdings

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • Sale executed under a Rule 10b5-1 trading plan, indicating prearranged timing and lack of discretionary timing by the reporting person
  • Reporting person retains substantial direct ownership of 1,048,638 shares and has scheduled restricted stock vesting, suggesting continued alignment with shareholders

Negative

  • None.

Insights

TL;DR: Routine officer sale under a 10b5-1 plan; limited immediate market impact given retained holdings.

The Form 4 shows an officer sale of 25,000 WT shares at $13.33 executed under a Rule 10b5-1 plan established on 02/25/2025. Because the transaction was prearranged and the reporting person continues to hold over one million shares directly, this disclosure is consistent with routine liquidity management rather than a signal of changed company fundamentals. The filing’s disclosure of scheduled restricted stock vesting provides additional clarity on near-term potential supply.

TL;DR: Use of a documented trading plan and continued substantial ownership indicate alignment with shareholders.

The filing explicitly states the sale was conducted under a 10b5-1 plan and that the officer remains a significant direct holder with detailed restricted stock vesting dates. From a governance perspective, those elements support transparency and adherence to insider trading controls. There are no indications in the form of atypical governance actions or policy exceptions.

Insider Lilien R Jarrett
Role President and COO
Sold 25,000 shs ($333K)
Type Security Shares Price Value
Sale Common Stock 25,000 $13.33 $333K
Holdings After Transaction: Common Stock — 1,048,638 shares (Direct)
Footnotes (1)
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on February 25, 2025. Accordingly, the reporting person had no discretion with regard to the timing of the transaction. All sales by the reporting person are subject to the Issuer's equity ownership requirements. Includes restricted stock awards vesting as to (i) 155,950 shares on January 25, 2026, (ii) 90,787 shares on January 25, 2027 and (iii) 35,941 shares on January 25, 2028.
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).
X
 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*
Lilien R Jarrett
(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)
President and COO
3. Date of Earliest Transaction (Month/Day/Year)
08/12/2025
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 08/12/2025 S(1) 25,000 D $13.33 1,048,638(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
Explanation of Responses:
1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on February 25, 2025. Accordingly, the reporting person had no discretion with regard to the timing of the transaction. All sales by the reporting person are subject to the Issuer's equity ownership requirements.
2. Includes restricted stock awards vesting as to (i) 155,950 shares on January 25, 2026, (ii) 90,787 shares on January 25, 2027 and (iii) 35,941 shares on January 25, 2028.
/s/ Marci Frankenthaler, Attorney-in-Fact 08/13/2025
** 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

Who filed the Form 4 for WisdomTree (WT)?

The Form 4 was filed on behalf of Lilien R Jarrett, who is listed as President and COO of WisdomTree.

What insider transaction did Lilien R Jarrett report for WT?

The filing reports a sale of 25,000 shares of WT common stock at $13.33 on 08/12/2025.

Was the sale executed under a prearranged plan?

Yes. The sale was effected pursuant to a Rule 10b5-1 trading plan established on 02/25/2025, per the form's explanation.

How many WT shares does the reporting person hold after the transaction?

The reporting person beneficially owns 1,048,638 shares directly following the reported transaction.

Are there restricted shares noted in the filing for the reporting person?

Yes. The filing discloses restricted stock 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.