[Form 3] WEALTHFRONT CORP Initial Statement of Beneficial Ownership
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
Wealthfront Corp’s CFO and Treasurer has reported their beneficial ownership of company equity. They directly hold 79,411 shares of common stock, plus multiple stock options covering 15,000, 61,000, 160,000, 125,000, 125,000, 13,794 and 534,585 shares at exercise prices between $1.16 and $2.91 per share. They also hold restricted stock unit awards for 95,785, 365,000, 378,000 and 284,200 units, each representing one share of common stock. These RSU awards vest on quarterly schedules and include performance-based conditions that are satisfied or will be satisfied in connection with Wealthfront Corp’s initial public offering.
Positive
- None.
Negative
- None.
Insider Trade Summary
12 transactions reported
Mixed
12 txns
Insider
Imberman Alan
Role
CFO and Treasurer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Stock Option (Right to Buy) | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Stock Option (Right to Buy) — 15,000 shares (Direct);
Restricted Stock Units — 95,785 shares (Direct);
Common Stock — 79,411 shares (Direct)
Footnotes (1)
- The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on July 1, 2020. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on January 1, 2021. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on July 1, 2022. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on May 14, 2023. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on July 1, 2023. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on May 14, 2024. The option is fully vested. Pursuant to the terms of the reporting person's award agreement with the Issuer, the award became fully vested on March 31, 2025. The award was granted subject to a performance-based vesting condition which shall be satisfied in connection with the Issuer's initial public offering ("IPO"), as well as a service-based vesting schedule. The award vested as to 1/8 of the total award quarterly on the fifteenth calendar day of March, June, September, and December, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on March 15, 2023. The award was fully time-vested as of December 15, 2024, and the entire award will be settled for shares of the Issuer's Common Stock in connection with the IPO. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The award was granted subject to a performance-based vesting condition which shall be satisfied in connection with the IPO, as well as a service-based vesting schedule. The award vested or vests as to 1/16 of the total award quarterly on the fifteenth calendar day of March, June, September, and December, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on March 15, 2024. Time-vested portions of the award will be settled for shares of the Issuer's Common Stock in connection with the IPO. The award was granted subject to a performance-based vesting condition which shall be satisfied in connection with the IPO, as well as a service-based vesting schedule. The award vested or vests as to 1/16 of the total award quarterly on the fifteenth calendar day of March, June, September, and December, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on March 15, 2025. Time-vested portions of the award will be settled for shares of the Issuer's Common Stock in connection with the IPO. The award was granted subject to a performance-based vesting condition which was satisfied in connection with the IPO, as well as a service-based vesting schedule. The award shall vest as to 1/16 of the total award quarterly on the fifteenth calendar day of March, June, September, and December, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche vesting on March 15, 2026.
