8-K 1 d293123d8k.htm FORM 8-K

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): November 18, 2016

WisdomTree Investments, Inc.

(Exact name of registrant as specified in its charter)

Commission File Number: 001-10932

Delaware |  | 13-3487784
(State or other jurisdiction of incorporation) |  | (IRS Employer Identification No.)

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:

☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 8.01 | Other Events

On November 18, 2016, WisdomTree Investments, Inc. (the “Company”) issued a press release announcing that it has invested $20 million for a 36% equity interest in AdvisorEngine Inc., formerly known as Vanare Inc., an end-to-end digital wealth management platform which enables individual customization of investment philosophies. The Company and AdvisorEngine have also entered into a strategic agreement whereby the Company’s asset allocation models will be made available through AdvisorEngine’s open architecture platform and the Company will actively introduce the platform to its deep distribution network. A copy of the press release is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Presentation materials concerning the investment, which will be available on the Company’s investor relations website at http://ir.wisdomtree.com, are attached hereto as Exhibit 99.2 and are incorporated herein by reference.

The information furnished pursuant to this Item 8.01, including Exhibits 99.1 and 99.2, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities under that Section and shall not be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended.

Item 9.01. | Financial Statements and Exhibits

(d) Exhibits:

Exhibit 99.1 |  | Press Release, dated November 18, 2016
Exhibit 99.2 |  | Presentation, dated November 18, 2016

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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.

|  |  |  | WisdomTree Investments, Inc.
Date: November 18, 2016 |  |  |  |
|  |  |  | By: |  | /s/ Amit Muni
|  |  |  |  |  | Amit Muni

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