WisdomTree, Inc.
For the period ended Sep 30, 2026. Filed Nov 5, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 5, 2026
WT$20.90+7.3%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. EXHIBITS
| ITEM 6. | EXHIBITS |
EXHIBIT INDEX
| Exhibit Number | Description |
| 2.1* + | Equity Purchase Agreement by and among the Registrant, WisdomTree Farmland Holdings, Inc., Ceres Partners, LLC, the Sellers and the Sellers’ Representative, dated July 31, 2025 (incorporated by reference to Exhibit 2.1 of the Registrant’s Quarterly Report on Form 10-Q filed with the SEC on August 6, 2025) |
| 2.2* + | Sale and Purchase Agreement by and among the Company, WisdomTree International Holdings Ltd, Atlantic House Holdings Limited, the shareholders of Atlantic House, the EBT Trustee and the Individual Guarantor (each as defined therein), dated March 13, 2026 (incorporated by reference to Exhibit 2.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on March 16, 2026) |
| 2.3* + | Management Warranty Deed relating to Atlantic House Holdings Limited between the Warrantors (as defined therein) and WisdomTree International Holdings Ltd, dated March 13, 2026 (incorporated by reference to Exhibit 2.2 of the Registrant’s Current Report on Form 8-K filed with the SEC on March 16, 2026) |
| 3.1 | Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 3.2 | 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) |
| 3.3 | 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) |
| 3.4 | 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) |
| 3.5 | Fifth Amended and Restated Bylaws (incorporated by reference to Exhibit 3.7 of the Registrant’s Quarterly Report on Form 10-Q filed with the SEC on August 2, 2024) |
| 4.1 | Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.1 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 4.2 | Amended and Restated Stockholders Agreement among the Registrant and certain investors dated December 21, 2006 (incorporated by reference to Exhibit 4.2 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 4.3 | Securities Purchase Agreement among the Registrant and certain investors dated December 21, 2006 (incorporated by reference to Exhibit 4.3 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 4.4 | Securities Purchase Agreement among the Registrant and certain investors dated October 15, 2009 (incorporated by reference to Exhibit 4.4 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 4.5 | Third Amended and Restated Registration Rights Agreement dated October 15, 2009 (incorporated by reference to Exhibit 4.5 of the Registrant’s Registration Statement on Form 10, filed with the SEC on March 31, 2011) |
| 4.6 | Indenture, dated as of August 14, 2025, by and between the Registrant and U.S. Bank Trust Company, National Association, as Trustee (incorporated by reference to Exhibit 4.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on August 14, 2025) |
| 4.7 | Form of Global Note, representing the Registrant’s 4.625% Convertible Senior Notes due 2030 (incorporated by reference to Exhibit 4.2 of the Registrant’s Current Report on Form 8-K filed with the SEC on August 14, 2025) |
| 4.8 | Indenture, dated as of March 30, 2026, by and between WisdomTree, Inc. and U.S. Bank Trust Company, National Association, as Trustee (incorporated by reference to Exhibit 4.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on March 30, 2026) |
| 4.9 | Form of Global Note, representing WisdomTree, Inc.’s 4.50% Convertible Senior Notes due 2031 (incorporated by reference to Exhibit 4.2 of the Registrant’s Current Report on Form 8-K filed with the SEC on March 30, 2026) |
| 31.1(1) | Rule 13a-14(a) / 15d-14(a) Certification |
| 31.2(1) | Rule 13a-14(a) / 15d-14(a) Certification |
| 31.3(1) | Rule 13a-14(a) / 15d-14(a) Certification |
| 32.1(2) | Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| Exhibit Number | Description |
| 101(1) | Financial Statements from the Quarterly Report on Form 10-Q of the Company for the three months ended September 30, 2026, formatted in XBRL: (i) Consolidated Balance Sheets at September 30, 2026 (Unaudited) and December 31, 2025; (ii) Consolidated Statements of Operations and Comprehensive Income for the three and nine months ended September 30, 2026 and September 30, 2025 (Unaudited); (iii) Consolidated Statements of Changes in Stockholders’ Equity for the three and nine months ended September 30, 2026 and September 30, 2025 (Unaudited); (iv) Consolidated Statements of Cash Flows for the nine months ended September 30, 2026 and September 30, 2025 (Unaudited); and (v) Notes to Consolidated Financial Statements, as blocks of text and in detail. |
| 101.SCH(1) | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL(1) | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF(1) | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB(1) | Inline XBRL Taxonomy Extension Labels Linkbase Document |
| 101.PRE(1) | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104(1) | 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 Item 601(a)(5) of Regulation S-K, certain schedules and exhibits contained in this document have been omitted and will be furnished to the SEC supplementally upon request. |
| + | Certain confidential information contained in this document has been redacted in accordance with Item 601(b)(2)(ii) of Regulation S-K. The Company agrees to furnish supplementally an unredacted copy of the exhibit to the SEC upon request. |
SIGNATURE
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 5th day of November 2026.
| WISDOMTREE, INC. | |
|---|---|
| By: | /s/ Jonathan Steinberg |
| Jonathan Steinberg | |
| Chief Executive Officer (Principal Executive Officer) | |
| WISDOMTREE, INC. | |
|---|---|
| By: | /s/ Bryan Edmiston |
| Bryan Edmiston | |
| Chief Financial Officer (Principal Financial Officer) | |
| WISDOMTREE, INC. | |
|---|---|
| By: | /s/ Petranka Badova Radev |
| Petranka Badova Radev | |
| Chief Accounting Officer (Principal Accounting Officer) | |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.