Current Report Filing (8-k)
May 25 2021 - 9:01AM
Edgar (US Regulatory)
false 0000880631 0000880631 2021-05-24 2021-05-24
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 24, 2021
WisdomTree Investments, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-10932
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13-3487784
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(State or other jurisdiction
of incorporation)
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Commission
File Number:
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(IRS Employer
Identification No.)
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245 Park Avenue
35th Floor
New York, NY 10167
(Address of principal executive offices, including zip code)
(212) 801-2080
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Exchange Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange
on which registered
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Common Stock, $0.01 par value
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WETF
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The NASDAQ Stock Market LLC
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02.
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
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The Board of Directors of WisdomTree Investments, Inc. (the “Company”) appointed Bryan Edmiston as Chief Financial Officer and principal financial officer, effective June 1, 2021. Mr. Edmiston, 45, has served as Chief Accounting Officer since April 2018 and as Director – Financial Reporting and Accounting Policy since September 2016. In these roles, he has been responsible for overseeing the Company’s accounting matters, including global financial accounting and reporting, the financial control environment and the global tax function. Prior to the Company, Mr. Edmiston joined the broker-dealer subsidiary of Gleacher & Company, Inc. as a Managing Director responsible for Accounting Policy and SEC Reporting in December 2009. In July 2010, he also assumed the role of Controller of this subsidiary. From August 2011 to September 2016, he served as Controller and principal accounting officer of Gleacher. Mr. Edmiston was also a Senior Manager within the Banking & Capital Markets Assurance Practice at PricewaterhouseCoopers LLP, having been employed there from September 1997 to December 2009 while servicing a number of clients in the financial services industry. He received a B.B.A. in Accounting from Pace University and is a Certified Public Accountant.
Mr. Edmiston is not a party to any arrangement or understanding regarding his selection as Chief Financial Officer. Mr. Edmiston has no family relationships with any director, executive officer or person nominated or chosen by the Company to become a director or executive officer of the Company. Mr. Edmiston is not a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
In connection with his appointment as Chief Financial Officer, Mr. Edmiston’s annual base salary will increase from $250,000 to $325,000 effective June 1, 2021. He has not entered into any material plan, contract, arrangement or amendment in connection with his appointment as Chief Financial Officer.
A copy of the press release announcing Mr. Edmiston’s appointment is included as Exhibit 99.1 to this Report on Form 8-K and is incorporated herein by reference.
Item 9.01.
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Financial Statements and Exhibits
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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WisdomTree Investments, Inc.
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Date: May 25, 2021
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By:
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/s/ Marci Frankenthaler
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Marci Frankenthaler
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Chief Legal Officer and Secretary
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