X0405 TA-1/A 0001846640 XXXXXXXX 084-06766 true LIVE SEC WisdomTree Transfers, Inc. Securrency Transfers, Inc./ta 003681 250 West 34th Street 3rd Floor New York NY 10119 N 2128012080 N Y N N Corporation WisdomTree, Inc. 04/11/2023 Sole Shareholder E true William Peck 04/11/2023 Chief Executive Officer NA true Francis (Chris) Ryder 10/01/2021 President NA true Ryan Louvar 04/11/2023 Chief Legal Officer and Secretary NA true Bryan Edmiston 04/11/2023 Chief Financial Officer and Treasurer NA true Brian Moran 02/03/2022 Chief Compliance Officer NA 09/30/2023 Peter Ziemba 04/11/2023 Director NA true Stuart Bell 04/11/2023 Director NA true Derek Ibsch 10/01/2023 Chief Compliance Officer NA N N N N N N Y WisdomTree Asset Management, Inc. Settlement of Administrative Proceeding 10/21/2024 U.S. Securities and Exchange Commission On October 21, 2024, WisdomTree Asset Management, Inc. ("WTAM") entered into a settlement with the SEC related to alleged misstatements by WTAM regarding the ESG screening process employed by by three exchanged-traded series of WisdomTree Trust managed by WTAM (the "Funds"). The Funds were liquidated in February 2024. WTAM entered into the settlement without admitting or denying the SEC's allegations that WTAM violated sections 206(2) and 206(4) of the Investment Advisers Act of 1940, and Rules 206(4)-7 and 206(4)-8 thereunder, and Section 34(b) of the Investment Company Act of 1940. The SEC alleged that from March 2020 until November 2022, WTAM misstated to the Funds' Board of Trustees and investors that the Funds' ESG screening process, which used data from third-party vendors, failed to exclude all such companies. The SEC further alleged that WTAM did not adopt and implement policies and procedures concerning the process for excluding such companies from the Funds' portfolios and, more broadly, for its ESG investment process. In resolving these findings, WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM paid the civil money penalty on October 22, 2024 Y WisdomTree Asset Management, Inc. Settlement of Administrative Proceeding 10/21/2024 U.S. Securities and Exchange Commission On October 21, 2024, WisdomTree Asset Management, Inc. ("WTAM") entered into a settlement with the SEC related to alleged misstatements by WTAM regarding the ESG screening process employed by three exchange-traded series of WisdomTree Trust managed by WTAM (the "Funds"). The Funds were liquidated in February 2024. WTAM entered into the settlement without admitting or denying the SEC's allegations that WTAM violated Sections 206(2) and 206 (4) of the Investment Advisers Act of 1940, and Rules 206(4)-7 and 206(4)-8 thereunder, and Section 34(b) of the Investment Company Act of 1940. The SEC alleged that from March 2020 until November 2022, WTAM misstated to the Funds' Board of Trustees and investors that the Funds would not invest in companies that were "involved in certain controversial products or activities" when the Funds' ESG screening process, which used data from third-party vendors, failed to exclude all such companies. The SEC further alleged that WTAM did not adopt and implement policies and procedures concerning the process for excluding such companies from the Funds' portfolios and, more broadly, for its ESG investment process. In resolving these findings, WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM agreed to a censure, to cease and desist from committing or causing any violations and any future violations of the previously referenced statutory provisions, and to pay a civil money penalty of $4 million. WTAM paid the civil money penalty on October 22, 2024. N N N N N N N N N N N N N N N N DereK A. Ibsch 9172673707 Chief Compliance Officer 07/23/2025