UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-Q/A
Amendment No. 1
(Mark One)
☒ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended June 30, 2020
or
☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to .
Commission File Number 001-10932
WisdomTree Investments, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 13-3487784 | |
(State or other jurisdiction of incorporation or organization) | (IRS Employer Identification No.) | |
245 Park Avenue, 35th Floor New York, New York | 10167 | |
(Address of principal executive offices) | (Zip Code) |
212-801-2080
(Registrant’s telephone number, including area code)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). ☒ Yes ☐ No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or emerging growth company. See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule
12b-2
of the Exchange Act.Large accelerated filer | ☒ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☐ | Smaller reporting company | ☐ | |||
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 ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
Securities registered pursuant to Section 12(b) of the Exchange Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Common Stock, $0.01 par value | WETF | The NASDAQ Stock Market LLC |
As of July 27, 2020, there were 149,875,749 shares of the registrant’s Common Stock, $0.01 par value per share, outstanding.
Explanatory Note
WisdomTree Investments, Inc. is filing this Amendment No. 1 on Form
10-Q/A
to its Quarterly Report on Form10-Q
for the quarter ended June 30, 2020, filed with the Securities and Exchange Commission on August 7, 2020, solely to correct a typographical error on the cover page. The cover page of the Form10-Q
incorrectly stated that as of July 27, 2020, there were 145,875,749 shares of our common stock outstanding. The cover page of this Form10-Q/A
correctly states that as of July 27, 2020, there were 149,875,749 shares of our common stock outstanding.This Form
10-Q/A
should be read in conjunction with the Form10-Q,
which continues to speak as of the date of the Form10-Q.
Except as specifically noted above, this Form10-Q/A
does not modify or update disclosures in the Form10-Q.
Accordingly, this Form10-Q/A
does not reflect events occurring after the filing of the Form10-Q
or modify or update any related or other disclosures.Unless the context requires otherwise, references to “WisdomTree,” the “Company,” “we,” “our,” “us” or like terms refer to WisdomTree Investments, Inc. and its subsidiaries.
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ITEM 6. | EXHIBITS |
(1) | Filed herewith. |
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SIGNATURE
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 thereunto duly authorized on this 11
th
day of August 2020.WISDOMTREE INVESTMENTS, INC. | ||
By: | /s/ Jonathan Steinberg | |
Jonathan Steinberg | ||
Chief Executive Officer (Principal Executive Officer) | ||
WISDOMTREE INVESTMENTS, INC. | ||
By: | /s/ Amit Muni | |
Amit Muni | ||
Chief Financial Officer (Principal Financial Officer) | ||
WISDOMTREE INVESTMENTS, INC. | ||
By: | /s/ Bryan Edmiston | |
Bryan Edmiston | ||
Chief Accounting Officer (Principal Accounting Officer) |
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