<SEC-DOCUMENT>0001193125-12-419334.txt : 20121010
<SEC-HEADER>0001193125-12-419334.hdr.sgml : 20121010
<ACCEPTANCE-DATETIME>20121010103124
ACCESSION NUMBER:		0001193125-12-419334
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		3
CONFORMED PERIOD OF REPORT:	20121008
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20121010
DATE AS OF CHANGE:		20121010

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			WisdomTree Investments, Inc.
		CENTRAL INDEX KEY:			0000880631
		STANDARD INDUSTRIAL CLASSIFICATION:	 [6221]
		IRS NUMBER:				133487784
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-10932
		FILM NUMBER:		121136741

	BUSINESS ADDRESS:	
		STREET 1:		380 MADISON AVENUE
		STREET 2:		21ST FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10017
		BUSINESS PHONE:		212-801-2080

	MAIL ADDRESS:	
		STREET 1:		380 MADISON AVENUE
		STREET 2:		21ST FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10017

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INDEX DEVELOPMENT PARTNERS INC
		DATE OF NAME CHANGE:	20020812

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	FINANCIAL DATA SYSTEMS
		DATE OF NAME CHANGE:	19951120

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INDIVIDUAL INVESTOR GROUP INC
		DATE OF NAME CHANGE:	19951120
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>d421811d8k.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<HTML><HEAD>
<TITLE>Form 8-K</TITLE>
</HEAD>
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 <P STYLE="line-height:3px;margin-top:0px;margin-bottom:0px;border-bottom:0.5pt solid #000000">&nbsp;</P>
<P STYLE="line-height:3px;margin-top:0px;margin-bottom:2px;border-bottom:0.5pt solid #000000">&nbsp;</P> <P STYLE="margin-top:6px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>UNITED STATES </B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>SECURITIES AND EXCHANGE COMMISSION </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="3"><B>Washington, D.C. 20549 </B></FONT></P> <P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center>
<P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:8px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>Form 8-K
</B></FONT></P> <P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center> <P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:8px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>CURRENT REPORT </B></FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="3"><B>Pursuant to Section&nbsp;13 or 15(d) of the Securities Exchange Act of 1934 </B></FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>Date of Report (Date of earliest event reported): October&nbsp;8, 2012 </B></FONT></P>
<P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center> <P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:8px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="6"><B>WisdomTree Investments, Inc. </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="1"><B>(Exact name of registrant as specified in its charter) </B></FONT></P> <P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center>
<P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:8px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>Commission
File Number: 001-10932 </B></FONT></P> <P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center> <P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Delaware</B></FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>13-3487784</B></FONT></TD></TR>
<TR>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(State or other jurisdiction of</B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:1px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>incorporation)</B></FONT></P></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(IRS Employer</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:1px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="1"><B>Identification No.)</B></FONT></P></TD></TR>
</TABLE> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>380 Madison Avenue </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>21st Floor </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>New York, NY 10017 </B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Address of principal executive offices, including zip code) </B></FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>(212) 801-2080 </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="1"><B>(Registrant&#146;s telephone number, including area code) </B></FONT></P> <P STYLE="margin-top:24px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Former name
or former address, if changed since last report) </B></FONT></P> <P STYLE="font-size:8px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center>
<P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:8px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">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: </FONT></P> <P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT></TD>
<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT></TD>
<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT></TD>
<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT></TD>
<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P> <P STYLE="line-height:1px;margin-top:0px;margin-bottom:0px;border-bottom:1pt solid #000000">&nbsp;</P>
<P STYLE="line-height:3px;margin-top:0px;margin-bottom:2px;border-bottom:0.5pt solid #000000">&nbsp;</P>

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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;5.02.</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
</B></FONT></TD></TR></TABLE> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">On October&nbsp;8, 2012 WisdomTree Investments, Inc. (the &#147;Company&#148;) announced that Gregory Barton, 50, was named
Chief Operating Officer of the Company. Before joining the Company, Mr.&nbsp;Barton served as Executive Vice President Business and Legal Affairs, General Counsel and Secretary of TheStreet, Inc. from June 2009 to July 2012, following his service as
General Counsel and Secretary of Martha Stewart Living Omnimedia, Inc. from October 2007 to August 2008. From October 2004 to October 2007, Mr.&nbsp;Barton served as Executive Vice President, Licensing and Legal Affairs, General Counsel and
Secretary, and from November 2002 to October 2004, as Executive Vice President, General Counsel and Secretary, of Ziff Davis Media Inc. Preceding Ziff Davis, Mr.&nbsp;Barton served in a variety of positions at the Company (then known as Individual
Investor Group, Inc.) from August 1998 to November 2002, including President, Chief Financial Officer and General Counsel; and prior to that was Vice President, Corporate and Legal Affairs, and General Counsel of Alliance Semiconductor Corporation
from May 1995 to August 1998. Mr.&nbsp;Barton also worked at the law firm of Gibson, Dunn&nbsp;&amp; Crutcher. Mr.&nbsp;Barton received a B.A. degree, <I>summa cum laude</I>, from Claremont McKenna College and a J.D. degree,&nbsp;<I>magna cum
laude</I>,&nbsp;from Harvard Law School. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Mr.&nbsp;Barton and the Company have entered into an employment agreement, dated October&nbsp;8,
2012. The agreement is for an indefinite term, and Mr.&nbsp;Barton&#146;s employment is on an &#147;at will&#148; basis. Mr.&nbsp;Barton&#146;s agreement provides for a base salary of $300,000. The agreement entitles Mr.&nbsp;Barton to a guaranteed
minimum annual bonus of $200,000. The agreement also entitles Mr.&nbsp;Barton to participate in any annual incentive plan established by our Board of Directors or our Compensation Committee and to participate in standard Company benefit plans. The
agreement also contains employee confidentiality, assignment of inventions and non-solicitation of employee provisions. Mr.&nbsp;Barton is entitled to certain benefits in the event of the involuntary termination of his employment without
&#147;cause&#148; or the voluntary termination of his employment for &#147;good reason&#148;, as such terms are defined in the agreement, prior to December&nbsp;31, 2014 (or indefinitely, upon the occurrence of certain events). Under these
circumstances, (i)&nbsp;we will pay Mr.&nbsp;Barton, in addition to all accrued but unpaid base salary and guaranteed minimum annual bonus and any discretionary bonus that has been awarded but not yet paid, a severance amount equal to the sum of
one-year&#146;s base salary and guaranteed bonus and a prorated guaranteed minimum bonus for the year in which the termination occurs; (ii)&nbsp;Mr.&nbsp;Barton may elect to have us pay for COBRA insurance coverage for a one-year period following
his termination; and (iii)&nbsp;vesting of the shares of restricted stock granted to Mr.&nbsp;Barton on October&nbsp;8, 2012 (and vesting of any later-granted equity agreements with vesting periods greater than 13 months) would be accelerated such
that the number of shares vested upon Mr.&nbsp;Barton&#146;s termination would be the number of shares that would have vested through the 12 months following such termination. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">A copy of the press release announcing the matters described above as well as Mr.&nbsp;Barton&#146;s Employment Agreement are attached as Exhibit 99.1 and 10.1 respectively. </FONT></P>
<P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;9.01.</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Exhibits </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">(d) Exhibits </FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">Exhibit&nbsp;10.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Employment Agreement, by and between WisdomTree Investments, Inc. and Gregory Barton, dated October&nbsp;8, 2012.</FONT></TD></TR>
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<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">Exhibit&nbsp;10.12(1)</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Form of Restricted Stock Agreement (Multiple Year Vesting) for Executive Officers is hereby incorporated by reference from the Registrant&#146;s Registration Statement on Form 10
filed with the SEC on March&nbsp;31, 2011.</FONT></TD></TR>
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<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">Exhibit 99.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Press Release dated October&nbsp;8, 2012.</FONT></TD></TR>
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>SIGNATURES </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">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. </FONT></P>
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<TD VALIGN="top" COLSPAN="3"><FONT STYLE="font-family:Times New Roman" SIZE="2">WisdomTree Investments, Inc.</FONT></TD></TR>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Date: October 10, 2012</FONT></TD>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">By:</FONT></TD>
<TD VALIGN="bottom" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT STYLE="font-family:Times New Roman" SIZE="2">/s/ Jonathan Steinberg</FONT></TD></TR>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Jonathan Steinberg</FONT></TD></TR>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Chief Executive Officer</FONT></TD></TR>
</TABLE>
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</DOCUMENT>
<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>d421811dex101.htm
<DESCRIPTION>EMPLOYMENT AGREEMENT
<TEXT>
<HTML><HEAD>
<TITLE>Employment Agreement</TITLE>
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="right"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Exhibit 10.1 </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>WISDOMTREE ASSET MANAGEMENT, INC. </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px;padding-bottom:0px;" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>380 Madison
Avenue, 21<FONT STYLE="font-family:Times New Roman" SIZE="1"><SUP STYLE="vertical-align:baseline; position:relative; bottom:.8ex">st</SUP></FONT><FONT STYLE="font-family:Times New Roman" SIZE="2"> Floor </FONT></B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>New York, New York 10017 </B></FONT></P> <P STYLE="margin-top:24px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="2">October&nbsp;8, 2012 </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Gregory Barton </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">Dear Greg: </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">On behalf of WisdomTree Asset Management, Inc. (&#147;WTAM&#148;), I
am pleased to extend you a formal offer of employment as Chief Operating Officer of WTAM, and as Chief Operating Officer of its sole stockholder, WisdomTree Investments, Inc. (&#147;WTI&#148;). WTAM serves as the investment advisor for the exchange
traded funds issued by the WisdomTree Trust (&#147;WTT&#148;). As used in this letter (the &#147;Agreement&#148;), &#147;Company&#148; refers to, as the context requires, either (i)&nbsp;WTAM, WTI, WTT and the subsidiaries of WTAM or WTI
collectively, or (ii)&nbsp;any one or more of such entities. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The terms of your employment will be as follows: </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">1. Duties. In your capacity as Chief Operating Officer, you shall supervise the day-to-day operation of the business of the WTAM and WTI
and shall have such other executive duties and responsibilities consistent with those positions and assigned to you by the Chief Executive Officer of WTAM and/or WTI or his/her designee from time to time. In addition, if WTI shall establish
additional subsidiaries in furtherance of its business purposes, you shall serve as the Chief Operating Officer of those subsidiaries if requested by the Chief Executive Officer of WTI. You shall use your best efforts to promote the interests of the
Company and shall devote your full business time, attention and skill to the business and affairs of the Company; <I>provided, however</I>, that you may serve as an independent trustee of the Man Long Short Fund and funds that are series of the GLG
Investment Series Trust, to the extent that (i)&nbsp;such service does not substantially interfere with your ability to provide the services to WTAM and WTI set forth in the first two sentences of this Paragraph 1 and (ii)&nbsp;the Chief Executive
Officer of WTAM and WTI has not notified you in writing that he believes such service would create an actual conflict of interest that would harm your ability to serve WTAM and WTI . You shall undertake all business travel as required by Company in
connection with the performance of your duties hereunder. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">2. <U>Salary</U>. Your Base Salary will be paid at the rate of
$300,000 per annum, commencing as of the date your employment commences (&#147;Start Date&#148;), subject to such increases as may be determined from time to time by the Board of Directors of WTI (or the Compensation Committee thereof) in its sole
discretion. Your salary will be paid in accordance with WTAM&#146;s normal payroll policies in effect from time to time. </FONT></P>
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 <P STYLE="margin-top:0px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">3. <U>Bonuses</U>. You will be entitled to a Guaranteed Minimum Bonus of $200,000 for each
full calendar year, payable annually in cash each February but in no event later than March&nbsp;15 following the applicable bonus year consistent with WTAM&#146;s policies and procedures, subject to such increases as may be determined from time to
time by WTI&#146;s Board of Directors or its Compensation Committee in its sole discretion. The bonus shall be prorated for a partial calendar year of active employment provided that no pro rata bonus shall be due for the last year of employment
unless due to you pursuant to Paragraph 7. You will also be eligible for participation in certain discretionary bonus plans that may be established by WTI&#146;s Board of Directors or its Compensation Committee from time to time in its sole
discretion. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">4. <U>Restricted Stock</U>. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(a) You will be entitled to a restricted stock grant of 200,000 shares of WTI&#146;s common stock (&#147;Restricted Stock&#148;) under WTI&#146;s 2005 Performance Equity Plan. The shares of Restricted
Stock will vest in four equal annual installments and shall be subject to the terms of the associated Restricted Stock Agreement to be entered into on your Start Date, which shall be in the form of the draft restricted Stock Agreement dated
September&nbsp;20, 2012; <I>provided however</I>, and notwithstanding anything to the contrary in the Restricted Stock Agreement, in the event that a termination of your employment by the Company without Cause (as defined below) or a resignation
from your employment for Good Reason (as defined below) occurs prior to December&nbsp;31, 2014, (i)&nbsp;you shall be entitled to accelerated vesting only with respect to the Shares, if any, that would have vested during the twelve-month period
immediately following the date of such termination or resignation (&#147;Post-Employment Period&#148;), which Shares shall vest upon the date of such termination or resignation, (ii)&nbsp;vesting shall otherwise cease as of the last day of your
employment; and (iii)&nbsp;if a &#147;change of control&#148; (as defined in the Restricted Stock Agreement) (&#147;Change in Control&#148;) occurs during the Post-Employment Period, you shall be entitled to the same vesting with respect to the
Shares as you would have if you had been employed on the date of the Change in Control. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(b) The provisions of this Paragraph
4 shall be deemed to amend the Restricted Stock Agreement (it being specifically acknowledged by the parties hereto that notwithstanding that the Restricted Stock Agreement will be entered into subsequent to the date of this Agreement, the
provisions of this Paragraph 4 are intended to supersede the terms of the later dated Restricted Stock Agreement and are not being embodied in the form of the Restricted Stock Agreement solely because the parties desire that the form of the
Restricted Stock Agreement be consistent with the form of restricted stock agreements providing for vesting over four years previously entered into by other executive officers of WTAM). The Company and WTI each agrees that all future grants to you
of stock options and restricted stock with respect to WTI common stock that have a vesting period of longer than 13 months shall provide for acceleration of vesting and continuance of the stock options and restricted stock awards beyond termination
of employment in the same manner as provided in this Paragraph 4. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">5. <U>Protection of Confidential Information and
Intellectual Property</U>. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">You agree that your services hereunder are of a special, unique and extraordinary character, and
that your position with the Company places you in a position of confidence and trust. You further acknowledge that in the course of rendering services to the Company you have obtained and will obtain knowledge of confidential information and trade
secrets of the </FONT></P>
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Company. Accordingly, you agree that during the Restricted Period (defined below) with respect to the clause (i)&nbsp;below and at all times both during and after your employment with respect to
clauses (ii)&nbsp;and (iii)&nbsp;you shall not directly or indirectly: </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(i) solicit, directly or indirectly,
any officer, director, employee, or agent of the Company to become an officer, director, employee, or agent of you or anyone else, </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(ii) engage or participate in, directly or indirectly, any business conducted under any name that will be the same as or similar to the names of the Company or any trade names used by the Company, or
</FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(iii) disparage the reputation of the Company and the respective directors, trustees, officers or employees of
the Company, or the product and service offerings of the Company through written or spoken communication relating to the Company, its personnel or its products and services. </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">For purposes of this Agreement, the &#147;Restricted Period&#148; shall mean during your employment by WTAM and for a one
year period thereafter. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">You also agree that either during your employment and at any other time thereafter you
will not divulge, furnish, or make accessible to anyone (other than during your employment in the regular course of business of the Company) any knowledge or information with respect to confidential or secret processes, models, research procedures
or modalities, inventions, discoveries, improvements, formulae, plans, material, devices, ideas, or other know-how, whether intellectual property or not, with respect to any confidential or secret engineering, development, or research work or with
respect to any other confidential or secret aspects of the business of the Company (including, without limitation, the methodology of the market indices developed by the Company and the terms of business arrangements with service providers to the
Company). You further agree that during your employment and at any other time thereafter, you will not make use of, nor permit to be used, any confidential notes, memoranda, specifications, programs, data, information or other materials of any
nature whether oral or written relating to any matter within the scope of the business of the Company or concerning any of its respective dealings or affairs otherwise than for the benefit of the Company, it being agreed that any of the foregoing
will be and remain the sole and exclusive property of the Company and that immediately upon the termination of your employment, you will deliver any or all copies of the foregoing to the Company. </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">During your employment, you will disclose to the Company all market indices, research procedures, models, ideas, marketing
concepts, slogans, advertising campaigns, characters, proposals and plans invented or developed by you which relate directly or indirectly to the business of the Company or arise out of your employment with WTAM or your service as an officer of the
other entities comprising the Company or the use of the Company&#146;s property or resources including, without limitation, any market indices, research procedures, models, ideas, proposals and plans which may be copyrighted, trademarked, patented
or otherwise protected (collectively, &#147;Intellectual Property&#148;). It is understood and agreed that Intellectual Property does not include ideas, proposals or plans of a legal nature that are commonly known among experienced attorneys
</FONT></P>
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counseling companies in the exchange traded funds industry. You agree that all such Intellectual Property will be the sole property of the Company. You expressly understand and agree that any and
all Intellectual Property constitutes a &#147;work for hire&#148; under the U.S. Copyright Law. In the event any Intellectual Property is not regarded as a &#147;work for hire,&#148; you hereby assign to the Company the sole and exclusive right to
Intellectual Property. You agree that you will promptly disclose to the Company any and all Intellectual Property, and that, upon request of the Company, you will execute and deliver any and all documents or instruments and take any other action
which the Company will deem necessary to assign to and vest completely in the Company, to perfect trademark, copyright and patent protection with respect to, or to otherwise protect the Company&#146;s trade secrets and proprietary interest in the
Intellectual Property. Upon disclosure of any Intellectual Property to the Company, during your employment and at any time thereafter, you will, at the request and expense of the Company, sign, execute, make and do all such deeds, documents, acts
and things as the Company and its duly authorized agents may reasonably require: (i)&nbsp;to apply for, obtain and vest in the name of the Company alone (unless the Company otherwise directs) trademarks, copyrights or other analogous protection in
any country throughout the world and when so obtained or vested to renew and restore the same; and (ii)&nbsp;to defend any opposition proceedings in respect of such applications and any opposition proceedings or petitions or applications for
revocation of such trademarks, copyrights, patents or other analogous protection. In the event the you do not, within five days after delivery to you, execute and deliver such documents reasonably necessary to vest in the Company all right, title
and interest in such Intellectual Property, you hereby irrevocably designate and appoint the Company and its duly authorized officers and agents as your agent and attorney-in-fact, to act for and in your behalf and stead to execute and file any such
application or applications and to do all other lawfully permitted acts to further the prosecution and issuance of trademarks, copyright or this analogous protection thereon with the same legal force and effect as if executed by you. The obligations
of this Paragraph will continue after the termination of your employment with respect to such Intellectual Property conceived of or developed by you while employed by WTAM. The Company agrees to pay any and all copyright, trademark and patent fees
and expenses or this costs incurred by you for any assistance rendered to the Company pursuant to this Paragraph 5. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(a) If
you commit a breach, or threaten to commit a breach, of any of the provisions of Paragraph 5, the Company will have the right and remedy: </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(i) to have the provisions of this Agreement specifically enforced by any court having equity jurisdiction, including, but not limited to, granting the Company an injunction against the you, it being
acknowledged and agreed by you that the services being rendered hereunder to the Company are of a special, unique, and extraordinary character and that any such breach or threatened breach will cause irreparable injury to the Company and that money
damages will not provide an adequate remedy to the Company; and </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(ii) (x) to require you to account for and pay
over to the Company all compensation, profits, monies, accruals, increments, or benefits (collectively &#147;Benefits&#148;) derived or received by you as the result of any transactions constituting a breach of any of the provisions of Paragraph 5
and you hereby agree to account for and pay over such Benefits to the Company and (y)&nbsp;to cease any severance payments that would otherwise be payable to you. </FONT></P>
 <p STYLE="margin-top:0px;margin-bottom:0px"><FONT SIZE="1">&nbsp;</FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">4 </FONT></P>


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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Each of the rights and remedies enumerated in this Paragraph will be independent of the other, and will be
severally enforceable, and such rights and remedies will be in addition to, and not in lieu of, any other rights and remedies available to the Company, WTI and/or WTT under law or equity. If any provision of Paragraph 5 is held to be unenforceable
because of the scope, duration, or area of its applicability, the tribunal making such determination will have the power to modify such scope, duration, or area, or all of them, and such provision or provisions will then be applicable in such
modified form. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">6. <U>Representations and Indemnification</U>. You represent and warrant to the Company that you have the
right to be employed by the Company and you are not subject to any contract, commitment, agreement, arrangement or restriction of any kind which might prevent you from performing you duties and obligations hereunder. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">You agree to indemnify the Company against any loss, liability, claim, damage and expense (including but not limited to reasonable
attorney&#146;s fees) to which the Company may be subject in any action brought by a third party arising out of or relating to a breach or alleged breach by you of any of your representations or warranties set forth above. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">7. <U>Severance</U>. If your employment is terminated by WTAM prior to December&nbsp;31, 2014, for any reason other than your death,
&#147;Disability&#148; (as defined below) or for &#147;Cause&#148; (as defined below), or if you resign from your employment prior to December&nbsp;31, 2014, for &#147;Good Reason&#148; (as defined below) (in any event an &#147;Involuntary
Termination&#148;), then (i)&nbsp;WTAM will pay to you, within ten (10)&nbsp;business days following the Involuntary Termination, all accrued but unpaid Base Salary and any discretionary bonus that has been awarded to you by the Board of Directors
or Compensation Committee of WTI but not yet paid, and provided you enter into a fully effective Release Agreement in the form prescribed by the Company, (ii)&nbsp;WTAM will pay, in the manner set forth below, as severance to you (or in the case of
your subsequent death, the legal representative of your estate or such other person or persons as you shall have designated by written notice to WTAM), an amount equal to sum of: (A)&nbsp;the annual Base Salary set forth in Paragraph 2; (B)&nbsp;the
Guaranteed Minimum Bonus set forth in Paragraph 3; and (C)&nbsp;a pro rated Guaranteed Minimum Bonus for the year in which the termination occurred (collectively the &#147;Severance Amount&#148;). The Severance Amount shall be paid out in
substantially equal installments in accordance with the Company&#146;s payroll practice over twelve months commencing within 60 days after the date of the Involuntary Termination; <I>provided, however</I>, that if the 60-day period begins in one
calendar year and ends in a second calendar year, the Severance Amount shall begin to be paid in the second calendar year, <I>provided further</I>, if the Involuntary Termination occurs within the 24 months of a Change in Control, the Severance
Amount shall be paid in lump sum on the 60th day following the date of the Involuntary Termination in lieu of in installments but only if the Change in Control constitutes a change in the ownership or effective control of the Company, or in the
ownership of a substantial portion of the assets of the Company within the meaning of Section&nbsp;409A of the Internal Revenue Code of 1986, as amended (the &#147;Code&#148;) and the regulations promulgated thereunder. Solely for purposes of
Section&nbsp;409A of the Code, each installment payment is considered a separate payment. In addition, if you elect COBRA insurance coverage, WTAM directly will pay to you on a monthly basis 100% of the amount of such premiums for such insurance for
a one-year period following the effective date of your termination. Notwithstanding the foregoing, if you breach any of the provisions contained in Paragraph 5 of this Agreement, all payments of the Severance Amount and COBRA premiums shall
immediately cease. </FONT></P>
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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">For purposes of this Agreement, &#147;Disability&#148; shall mean the earlier to occur of either of the
following events: </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(i) you, because of physical or mental disability or incapacity, are unable to perform your
obligations to, or duties for, the Company pursuant to this Agreement on a full-time basis for ninety (90)&nbsp;consecutive days or a period in excess of one hundred fifty (150)&nbsp;days out of any period of three hundred sixty
(360)&nbsp;consecutive days; or </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(ii) the determination by a physician selected by WTAM, duly licensed in New
York with a medical specialty appropriate for such determination (which determination shall be binding and conclusive for the purpose of this Paragraph 7), that you are either physically or mentally, permanently disabled or incapacitated or
otherwise so disabled or incapacitated that he will be unable to perform your obligations to, or duties for, the Company pursuant to this Agreement for ninety (90)&nbsp;consecutive days or a period in excess of one hundred fifty (150)&nbsp;days out
of any period of three hundred sixty (360)&nbsp;consecutive days. Your failure to submit to an examination of a physician under this Paragraph 7 shall automatically result in a determination of disability hereunder. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">For purposes of this Agreement, &#147;Cause&#148; shall mean any one or more of the following acts or omissions by you: </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(i) the willful and continued failure to (A)&nbsp;materially perform your duties and obligations under this Agreement or
(B)&nbsp;to carry out specific legal directions of a senior officer or the Board of Directors of the Company; </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(ii) the material breach of any provision of this Agreement (including a breach of the representations and warranties made
by you in Paragraph 6 of this Agreement); </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(iii) the material failure to comply with the written policies or
rules of the Company; </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(iv) the commission of an act or failure to act that involves willful misconduct, bad
faith or gross negligence; </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(v) the commission of any act of fraud, misappropriation, embezzlement or similar
willful and malicious conduct against the Company; or </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:4%; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(vi) the conviction of, or plea of &#147;guilty&#148; or
&#147;no contest&#148; to, a felony under the laws of the United States or any state thereof. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Notwithstanding the foregoing, cause shall not
be deemed to exist for a reason specified in clauses (i)(A) or (ii)&nbsp;above unless you have been given written notice setting forth in reasonable detail the act, omission or failure of, or breach by, you and a period of at least 10 days after
such </FONT></P>
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notice to cure all of such acts, omissions, failures or breaches, and such shall not have been cured within such 10-day period; provided, further, that WTAM shall not be required to give notice
and an opportunity to cure for a reason specified in clauses (i)(A) or (ii)&nbsp;if you have committed the same or substantially similar acts, omissions, failures or breaches and WTAM has previously given you notice of and an opportunity to cure the
same. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">For purposes of this Agreement, &#147;Good Reason&#148; shall mean that you have complied with the &#147;Good Reason Process&#148;
(hereinafter defined) following the occurrence of any of the following events: (i)&nbsp;a material diminution in your responsibilities, authority or duties; (ii)&nbsp;a material diminution in your base salary except for across-the-board salary
reductions based on the Company&#146;s financial performance similarly affecting all or substantially all senior management employees of the Company; (iii)&nbsp;a material change in the geographic location of the principal place to which you provide
services to the Company, not including work-related travel or short-term assignments; or (iv)&nbsp;the material breach of this Agreement by the Company. For purposes of this Agreement, &#147;Good Reason Process&#148; shall mean that (i)&nbsp;you
reasonably determine in good faith that a &#147;good reason&#148; condition has occurred; (ii)&nbsp;you notify the Company in writing of the first occurrence of the good reason condition within 60 days of the first occurrence of such condition;
(iii)&nbsp;you cooperate in good faith with the Company&#146;s efforts, for a period not less than 30 days following such notice (the &#147;Cure Period&#148;), to remedy the condition; (iv)&nbsp;notwithstanding such efforts, the good reason
condition continues to exist; and (v)&nbsp;you terminate your employment within 60 days after the end of the Cure Period. If the Company cures the good reason condition during the Cure Period, good reason shall be deemed not to have occurred.
</FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Notwithstanding anything in this Agreement to the contrary, in the event that, prior to December&nbsp;31, 2014, any of the following events
occurs, then the phrases &#147;prior to December&nbsp;31, 2014&#148; contained in Paragraph 4 hereof and in the first paragraph of this Paragraph 7 shall be deemed deleted from this Agreement ab initio: (i)&nbsp;a Change in Control; or
(ii)&nbsp;Jonathan Steinberg for any reason ceases to serve (or he or the Company announce that as of a specified or to-be-determined future date, he will for any reason cease to serve) as Chief Executive Officer of WTI or WTAM. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">8. <U>Section&nbsp;409A</U>. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(a) Anything in this Agreement to the contrary notwithstanding, if at the time of your separation from service within the meaning of Section&nbsp;409A of the Code, the Company determines that you are a
&#147;specified employee&#148; within the meaning of Section&nbsp;409A(a)(2)(B)(i) of the Code, then to the extent any payment or benefit that you become entitled to under this Agreement on account of your separation from service would be considered
deferred compensation subject to the 20 percent additional tax imposed pursuant to Section&nbsp;409A(a) of the Code as a result of the application of Section&nbsp;409A(a)(2)(B)(i) of the Code, such payment shall not be payable and such benefit shall
not be provided until the date that is the earlier of (A)&nbsp;six months and one day after your separation from service, or (B)&nbsp;your death. If any such delayed cash payment is otherwise payable on an installment basis, the first payment shall
include a catch-up payment covering amounts that would otherwise have been paid during the six-month period but for the application of this provision, and the balance of the installments shall be payable in accordance with their original schedule.
</FONT></P>
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 <P STYLE="margin-top:0px;margin-bottom:0px; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(b) All in-kind benefits provided and expenses eligible for reimbursement under this
Agreement shall be provided by the Company or incurred by you during the time periods set forth in this Agreement. All reimbursements shall be paid as soon as administratively practicable, but in no event shall any reimbursement be paid after the
last day of the taxable year following the taxable year in which the expense was incurred. The amount of in-kind benefits provided or reimbursable expenses incurred in one taxable year shall not affect the in-kind benefits to be provided or the
expenses eligible for reimbursement in any other taxable year. Such right to reimbursement or in-kind benefits is not subject to liquidation or exchange for another benefit. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(c) To the extent that any payment or benefit described in this Agreement constitutes &#147;non-qualified deferred compensation&#148; under Section&nbsp;409A of the Code, and to the extent that such
payment or benefit is payable upon your termination of employment, then such payments or benefits shall be payable only upon your &#147;separation from service.&#148; The determination of whether and when a separation from service has occurred shall
be made in accordance with the presumptions set forth in Treasury Regulation Section&nbsp;1.409A 1(h). </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT STYLE="font-family:Times New Roman" SIZE="2">(d) The parties intend
that this Agreement will be administered in accordance with Section&nbsp;409A of the Code. To the extent that any provision of this Agreement is ambiguous as to its compliance with Section&nbsp;409A of the Code, the provision shall be read in such a
manner so that all payments hereunder comply with Section&nbsp;409A of the Code. The parties agree that this Agreement may be amended, as reasonably requested by either party, and as may be necessary to fully comply with Section&nbsp;409A of the
Code and all related rules and regulations in order to preserve the payments and benefits provided hereunder without additional cost to either party. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">(e) The Company makes no representation or warranty and shall have no liability to you or any other person if any provisions of this Agreement are determined to constitute deferred compensation subject to
Section&nbsp;409A of the Code but do not satisfy an exemption from, or the conditions of, such Section. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">9.
<U>Miscellaneous</U>. You understand and agree that your employment by WTAM is on at &#147;at will&#148; basis, subject to WTAM&#146;s obligations to pay severance as provided herein. You shall be subordinate to and report directly to the Chief
Executive Officer of WTAM and of WTI. You will be entitled to four weeks paid vacation per calendar year to be accrued on a pro rata basis and you will be entitled to participate in all of the employee benefit plans provided WTAM subject to the
terms and conditions of those programs. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">This Agreement, together with the 2005 Performance Equity Plan, the Restricted Stock Agreement with
WTI (as amended herein), set forth all of the terms relating to your employment by WTAM, and supersedes all prior agreements, whether written or oral, including without limitation any prior employment agreement. A signature received via facsimile
will be deemed an original for all purposes. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">The rights and obligations of Company hereunder shall be binding upon and run in favor of the
successors and assigns of Company. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">All payments made by the Company to you shall be made net of any tax or other amounts required to be
withheld by the Company under applicable law. Nothing herein or otherwise shall be construed to require the Company to minimize tax consequences to you. </FONT></P>
 <p STYLE="margin-top:0px;margin-bottom:0px"><FONT SIZE="1">&nbsp;</FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">8 </FONT></P>


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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">This Agreement shall be governed by, and construed in accordance with, the internal laws of New York without
regard to principles of conflicts of law. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">This Agreement may not be amended, modified or amended, nor may any term or provision be waived
unless such modification, amendment or waiver is in writing and signed by the party against whom enforcement of any such modification, amendment or waiver is sought. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">Please indicate by your signature below your agreement with the terms set forth above. In closing, I want to reiterate how excited we are to have you join us at such a significant time in the development
of the Company and look forward to your important contributions to our success. </FONT></P> <P STYLE="margin-top:18px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Sincerely, </FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>WISDOMTREE ASSET MANAGEMENT, INC.</B></FONT></TD></TR>
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<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD></TR>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">By:&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="bottom" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT STYLE="font-family:Times New Roman" SIZE="2">/s/ Jonathan L. Steinberg</FONT></TD></TR>
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<TD VALIGN="bottom" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">Jonathan L. Steinberg, Chief Executive Officer</FONT></TD></TR>
</TABLE> <P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>AGREED AND ACCEPTED:</B></FONT></TD></TR>
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<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT STYLE="font-family:Times New Roman" SIZE="2">/s/ Gregory Barton</FONT></TD></TR>
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<TD VALIGN="bottom"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Gregory Barton</B></FONT></TD></TR>
</TABLE> <P STYLE="margin-top:18px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Solely to confirm its agreement to the provisions of Paragraph 4: </B></FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>WISDOMTREE INVESTMENTS, INC.</B></FONT></TD></TR>
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<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">By:&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="bottom" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT STYLE="font-family:Times New Roman" SIZE="2">Jonathan L. Steinberg</FONT></TD></TR>
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<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="bottom" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">Jonathan L. Steinberg, Chief Executive Officer</FONT></TD></TR>
</TABLE>
 <p STYLE="margin-top:0px;margin-bottom:0px"><FONT SIZE="1">&nbsp;</FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">9 </FONT></P>

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<DESCRIPTION>PRESS RELEASE
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="right"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Exhibit 99.1 </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>WisdomTree Names Gregory Barton Chief Operating Officer </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">New York, NY &#150;
(GlobeNewswire) &#150; October&nbsp;8, 2012 &#150; WisdomTree Investments, Inc. (NASDAQ: WETF), an exchange-traded fund (&#147;ETF&#148;) sponsor and asset manager, today announced the appointment of Gregory Barton as Chief Operating Officer. Prior
to WisdomTree, Mr.&nbsp;Barton served as Executive Vice President of Business and Legal Affairs, General Counsel and Secretary of TheStreet, Inc. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">&#147;Greg&#146;s knowledge of the fund industry and combination of legal, operational and financial experience will make him a strong addition to WisdomTree&#146;s management team,&#148; said Jonathan
Steinberg, WisdomTree CEO and President. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Mr.&nbsp;Barton brings to WisdomTree 16 years of leadership experience involving business
management, risk management, corporate law and public company oversight, having served in a range of senior executive roles over the course of his career. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">&#147;I am excited to join WisdomTree&#146;s management and operating team and look forward to working with this impressive group as WisdomTree continues to focus on growing its business and solidifying
its position as a leader in the rapidly growing ETF industry,&#148; said Mr.&nbsp;Barton. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Prior to TheStreet, Mr.&nbsp;Barton most recently
served as General Counsel and Secretary at Martha Stewart Living Omnimedia, Inc., after having served as Executive Vice President of Licensing and Legal Affairs, General Counsel and Secretary at Ziff Davis Media Inc. In connection with his
appointment as COO of WisdomTree Investments, Inc., Mr.&nbsp;Barton has resigned his directorship on the WisdomTree Trust Board where he has served as an Independent Trustee and Audit Committee Chairman since its inception in 2006. Mr.&nbsp;Barton
earned a B.A., <I>summa cum laude</I>, with a dual major of Political Science and Mathematics, from Claremont McKenna College, and a J.D., <I>magna cum laude</I>, from Harvard Law School. </FONT></P> <P STYLE="margin-top:18px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>About WisdomTree </B></FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">WisdomTree Investments, Inc. is a New York-based exchange-traded fund
(&#147;ETF&#148;) sponsor and asset manager. WisdomTree currently offers 49 ETFs across Equities, Currency Income, Fixed Income and Alternatives asset classes. WisdomTree also licenses its indexes to third parties for proprietary products and
promotes the use of WisdomTree ETFs in 401(k) plans. WisdomTree currently has approximately $16.9 billion in ETF assets under management. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">WisdomTree&reg; is the marketing name for WisdomTree Investments, Inc. and its wholly owned subsidiaries WisdomTree Asset Management, Inc. and WisdomTree
Retirement Services, Inc. WisdomTree Asset Management, Inc. is a registered investment advisor and is the investment advisor to the WisdomTree Trust and the WisdomTree ETFs. The WisdomTree Trust is a registered open-end investment company. Each
WisdomTree ETF is a series of the WisdomTree Trust. WisdomTree Retirement Services, Inc. supports the use of the WisdomTree ETFs in retirement plans by financial professionals. </FONT></P>

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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2"><I>Contact Information: </I></FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT
STYLE="font-family:Times New Roman" SIZE="2">WisdomTree Investments, Inc. </FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">Stuart Bell / Jessica Zaloom </FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">+1.917.267.3702 / +1.917.267.3735 </FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2">sbell@wisdomtree.com / jzaloom@wisdomtree.com </FONT></P>
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