WisdomTree Investments, Inc. 3rd Floor New York, NY 10119Company Policies & Agreement • May 26th, 2022 • WisdomTree Investments, Inc. • Security brokers, dealers & flotation companies • Delaware
This letter agreement (this “Agreement”) shall become effective upon the appointment of Deborah A. Fuhr (the “Designee”) to the Board of Directors (the “Board”) of WisdomTree Investments, Inc., a Delaware corporation (the “Company”), pursuant to the Cooperation Agreement, dated as of May 25, 2022 (the “Cooperation Agreement”), by and among the Company and the entities and individuals set forth on the signature pages thereto (collectively with each of their respective Affiliates, the “Investor Group”). Capitalized terms used and not otherwise defined herein have the meanings given to such terms in the Cooperation Agreement.
COOPERATION AGREEMENTCooperation Agreement • May 26th, 2022 • WisdomTree Investments, Inc. • Security brokers, dealers & flotation companies • Delaware
This COOPERATION AGREEMENT (this “Agreement”) is made and entered into as of May 25, 2022, by and among WisdomTree Investments, Inc., a Delaware corporation (the “Company”), ETFS Capital Limited, Graham Tuckwell (collectively with ETFS Capital Limited, and each of their respective Affiliates, “ETFS”), Lion Point Capital, LP, Lion Point Capital Holdings GP, LLC and Didric Cederholm (collectively, with Lion Point Capital, LP, Lion Point Capital Holdings GP, LLC and each of their respective Affiliates, “Lion Point”) (Lion Point and ETFS, collectively, the “Investor Group”). Unless otherwise defined, capitalized terms shall have the meanings given to them in Section 16(a).
AMENDMENT NO. 1 TO STOCKHOLDER RIGHTS AGREEMENTStockholder Rights Agreement • May 26th, 2022 • WisdomTree Investments, Inc. • Security brokers, dealers & flotation companies • New York
This Amendment No. 1 to Stockholder Rights Agreement (this “Amendment”) is made effective as of the 25th day of May, 2022. This Amendment is an amendment to the Stockholder Rights Agreement, dated as of March 14, 2022 (the “Rights Agreement”), between WisdomTree Investments, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a federally chartered trust company, as rights agent (the “Rights Agent”). The Company and the Rights Agent are collectively referred to as the “Parties.” Capitalized terms used and not otherwise defined herein have the meanings ascribed to them in the Rights Agreement.
