WisdomTree Transfers, Inc.

Form Type: TA-1/A

Filing Date: 2024-12-13

Corporate Action: Liquidation

Type: Update

Accession Number: 000184664024000006

Comments: On October 21, 2024, WisdomTree Asset Management, Inc. entered into a settlement with the SEC concerning alleged misstatements regarding its ESG screening process for three exchange-traded series of WisdomTree Trust. The SEC alleged violations occurred between March 2020 and November 2022, specifically that WisdomTree misstated its ESG screening process and failed to exclude certain companies from its portfolios. As a result, the Funds were liquidated in February 2024. In the settlement, WTAM agreed to a censure, cease and desist from violations, and pay a civil penalty of $4 million, which was paid on October 22, 2024.

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