Yates David M 4
4 · WisdomTree, Inc. · Filed Jan 27, 2026
Research Summary
AI-generated summary of this filing
WisdomTree (WT) CIO David Yates Receives Restricted Stock Award
What Happened
- David M. Yates, Chief Information Officer of WisdomTree, received awards of restricted stock on January 25, 2026: 22,688 shares (non‑derivative) and 7,562 shares (derivative performance‑based units reported as awards), totaling 30,250 shares. All awards were granted at $0.00 per share (no cash purchase). On the same date he surrendered 20,493 shares to WisdomTree to cover federal/state/other withholding taxes (disposition recorded at $0.00). No cash value is reported for the grants on the Form 4.
Key Details
- Transaction date(s): January 25, 2026; Form 4 filed January 27, 2026 (appears timely).
- Prices/values: Grants reported at $0.00 per share; tax-withholding surrender recorded at $0.00.
- Shares surrendered: 20,493 shares were turned back to the issuer to satisfy withholding obligations (routine tax withholding).
- Vesting: The 22,688 restricted shares vest in thirds per footnote F1 — 7,562 shares on Jan 25, 2027, 7,562 on Jan 25, 2028, and 7,564 on Jan 25, 2029.
- Performance awards: The 7,562 performance-based restricted stock units (PRSUs) are scheduled to vest on Jan 25, 2029; vesting may range from 0%–200% of target based on total shareholder return (TSR) vs. a peer group (see footnote F5).
- Additional footnotes: F2 summarizes other restricted awards and their staggered vesting; F3 confirms the surrender was for tax withholding; F4 explains each PRSU equals one share if it vests.
- Shares owned after transaction: not specified in the details provided on this summary.
Context
- These transactions are awards (not open-market purchases or sales). Grants and PRSUs are compensation tools and do not necessarily indicate the insider’s short-term view of the stock. The surrender of shares to cover taxes is routine and common on vesting. PRSUs are performance-contingent and may result in a different number of shares vesting (0–200% of target) depending on TSR through the performance period.
Insider Transaction Report
Form 4
Yates David M
Chief Information Officer
Transactions
- Award
Common Stock
[F1][F2]2026-01-25+22,688→ 174,811 total - Tax Payment
Common Stock
[F3][F2]2026-01-25−20,493→ 154,318 total - Award
Performance Based Restricted Stock Units
[F4][F5]2026-01-25+7,562→ 7,562 total→ Common Stock (7,562 underlying)
Footnotes (5)
- [F1]Restricted stock awarded by Issuer on January 25, 2026 and vesting as to (i) 7,562 shares on each of January 25, 2027 and January 25, 2028 and (ii) 7,564 shares on January 25, 2029.
- [F2]Includes restricted stock awards vesting as to (i) 35,859 shares on January 25, 2027, (ii) 19,116 shares on January 25, 2028 and (iii) 7,564 shares on January 25, 2029.
- [F3]Surrender of common stock to Issuer upon vesting of restricted stock awards to cover withholding taxes.
- [F4]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.
- [F5]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.
Signature
/s/ Marci Frankenthaler, Attorney-in-Fact|2026-01-27