UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM8-K/A
(Amendment No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 10, 2018
WisdomTree Investments, Inc.
(Exact name of registrant as specified in its charter)
| | | | |
| Delaware | | 001-10932 | | 13-3487784 |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (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)
n/a
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule14a-12 under the Exchange Act (17 CFR240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule14d-2(b) under the Exchange Act (17 CFR240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule13e-4(c) under the Exchange Act (17 CFR240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule12b-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 2.01 Completion of Acquisition or Disposition of Assets
On April 13, 2018, WisdomTree Investments, Inc. (“WisdomTree”) filed a Current Report on Form8-K (the “Initial Form8-K”) reporting that on April 11, 2018, WisdomTree completed the acquisition of ETF Securities Limited’s European exchange-traded commodity, currency andshort-and-leveraged business (the “European ETC Business”).
The Initial Form8-K omitted the financial statements of the business acquired and the pro forma combined financial information as permitted by Items 9.01(a)(4) and 9.01(b)(2) of Form8-K. This amendment to the Initial Form8-K is being filed to provide the financial statements and pro forma financial information required by Item 9.01 of Form8-K.
Item 7.01 Regulation FD Disclosures
Presentation materials concerning the acquisition by WisdomTree of the European ETC Business, which will be available on WisdomTree’s investor relations website athttp://ir.wisdomtree.com, are attached hereto as Exhibit 99.1.
The information furnished pursuant to this Item 7.01, including Exhibit 99.1, 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
(a)Financial Statements of Businesses Acquired
The audited combined andcarve-out financial statements of the European ETC Business of ETF Securities Limited, which comprise the combined andcarve-out statements of financial position as of December 31, 2017, 2016 and 2015, and the related combined andcarve-out statements of profit or loss and other comprehensive income, cash flows, and changes in net parent investment for the years then ended, and related notes thereto, are filed herewith as Exhibit 99.2.
(b)Pro Forma Financial Information
The unaudited pro forma combined financial statements and notes thereto of WisdomTree and the European ETC Business as of and for the year ended December 31, 2017 after giving effect to WisdomTree’s acquisition of the European ETC Business are filed herewith as Exhibit 99.3.
(d) 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. |
| |
| By: | | /s/ Amit Muni |
| Amit Muni |
| Chief Financial Officer |
Date: May 9, 2018
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