What changed in this filing

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Item 5. Other Information

2023-11-08 compared with 2023-08-04 · 22 added, 15 removed, 60 unchanged (38% of the section changed)

OTHER INFORMATION

Trading Arrangements

the three months ended June 30, 2023, no ne of our directors or officers (as defined in Rule 16a-1(f) of

the Exchange Act) adopted, terminated or modified a Rule 10b5-1

trading arrangement or non-Rule

trading arrangement (as such terms are defined in Item 408 of Regulation S-K).

10b5-1 Trading Arrangements

During the three months ended September 30,

2023, none of our directors or officers (as defined in Rule 16a-1(f) of the Exchange Act) adopted , terminated or

modified a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation

EXHIBIT INDEX

1 unchanged sentence

Certificate of Amendment to the Amended and Restated Certificate of Incorporation (Name Change) (incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K, filed with the SEC on November 7, 2022)

Certificate of Amendment to the Amended and Restated Certificate of Incorporation (Declassification of Board of Directors) (incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K, filed with the SEC on July 20, 2022)

Certificate of Amendment to the

Amended and Restated Certificate of Incorporation (Declassification of Board of Directors) (incorporated by reference to Exhibit 3.1

of the Registrant’s Current Report on Form 8-K, filed with the SEC on July 20, 2022)

Certificate of Amendment to the Amended and Restated Certificate of Incorporation (Increase in Authorized Shares) (incorporated by reference to Exhibit 3.2 of the Registrant’s Current Report on Form 8-K, filed with the SEC on July 20, 2022)

24 unchanged sentences

Investor Rights Agreement, dated as of May 10, 2023, by and between the Registrant and Gold Bullion Holdings (Jersey) Limited (incorporated by reference to Exhibit 4.1 of the Registrant’s Current Report on Form 8-K, filed with the SEC on May 10, 2023)

Sale, Purchase and Assignment Deed, dated as of May 10, 2023, by and between the Registrant, WisdomTree International Holdings Ltd, Electra Target HoldCo Limited, ETFS Capital Limited, World Gold Council, Gold Bullion Holdings (Jersey) Limited, Rodber Investments Limited and Graham Tuckwell (incorporated by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K, filed with the SEC on May 10, 2023)

Sale, Purchase and Assignment Deed,

dated as of May 10, 2023, by and between the Registrant, WisdomTree International Holdings Ltd, Electra Target HoldCo Limited, ETFS

Capital Limited, World Gold Council, Gold Bullion Holdings (Jersey) Limited, Rodber Investments Limited and Graham Tuckwell (incorporated

by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K, filed with the SEC on May 10, 2023)

Amendment to Employment Agreement between the Registrant and Alexis Marinof, dated April 21, 2023 (incorporated by reference to Exhibit 10.1 of the Registrant’s Quarterly Report on Form 10-Q, filed with the SEC on May 9, 2023)

9 unchanged sentences

Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

Financial Statements from the Quarterly Report on Form 10-Q

of the Company for the three months ended June 30, 2023, formatted in XBRL:

(i) Consolidated Balance Sheets at June 30, 2023 (Unaudited) and December 31, 2022;

(ii) Consolidated Statements of Operations and Comprehensive Income/(Loss) for the three and six months ended June 30, 2023 and June 30, 2022 (Unaudited);

(iii) Consolidated Statements of Changes in Stockholders’ Equity for the three and six months ended June 30, 2023 and June 30, 2022 (Unaudited) (iv) Consolidated Statements of Cash Flows for the six months ended June 30, 2023 and June 30, 2022 (Unaudited);

Financial Statements from the Quarterly Report on Form 10-Q of the Company for the three months ended September 30, 2023, formatted in XBRL:

(i) Consolidated Balance Sheets at September 30, 2023 (Unaudited) and December 31, 2022;

(ii) Consolidated Statements of Operations and Comprehensive Income for the three and nine months ended September 30, 2023 and September 30, 2022 (Unaudited);

(iii) Consolidated Statements of Changes in Stockholders’ Equity for the three and nine months ended September 30, 2023 and September 30, 2022 (Unaudited);

(iv) Consolidated Statements of Cash Flows for the nine months ended September 30, 2023 and September 30, 2022 (Unaudited);

and (v) Notes to Consolidated Financial Statements, as blocks of text and in detail.

5 unchanged sentences

Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101.*)

__________________________________________________________

(1) Filed herewith.

(2) Furnished herewith.

Pursuant to the requirements of the Exchange Act, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized on this 4 th

day of August 2023.

Pursuant to the requirements of the Exchange

Act, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized on this 8 th

day of November 2023.

WISDOMTREE, INC.

7 unchanged sentences

Chief Financial Officer

(Principal Financial Officer and Principal

(Principal Financial Officer

and Principal

Accounting Officer)

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information