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Wealthfront (WLTH) CFO settles RSUs; shares withheld to cover taxes

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

WEALTHFRONT CORP CFO Alan Imberman reported routine equity compensation activity involving restricted stock units and related tax withholding. On March 15, 2026, he exercised or settled restricted stock units into Common Stock in several tranches, which the data aggregates to 64,199 shares acquired through derivative exercises or conversions.

On March 16, 2026, 15,756 shares of Common Stock were withheld by the company at a price of $7.86 per share to cover tax liabilities, a non‑market "F" code disposition. After these transactions, he directly held 394,470 shares of Common Stock.

Positive

  • None.

Negative

  • None.
Insider Imberman Alan
Role CFO and Treasurer
Type Security Shares Price Value
Tax Withholding Common Stock 15,756 $7.86 $124K
Exercise Restricted Stock Units 22,812 $0.00 --
Exercise Restricted Stock Units 23,625 $0.00 --
Exercise Restricted Stock Units 17,762 $0.00 --
Exercise Common Stock 22,812 $0.00 --
Exercise Common Stock 23,625 $0.00 --
Exercise Common Stock 17,762 $0.00 --
Holdings After Transaction: Common Stock — 394,470 shares (Direct); Restricted Stock Units — 159,688 shares (Direct)
Footnotes (1)
  1. The transaction represents the number of shares of Common Stock withheld by the Issuer to satisfy tax withholding liabilities in connection with the net settlement of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 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 vested on March 15, 2024. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date. 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 vested on March 15, 2025. 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 vested on March 15, 2026.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Imberman Alan
(Last) (First) (Middle)
C/O WEALTHFRONT CORPORATION
261 HAMILTON AVENUE
(Street)
PALO ALTO CA 94301
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
WEALTHFRONT CORP [ WLTH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CFO and Treasurer
3. Date of Earliest Transaction (Month/Day/Year)
03/15/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/15/2026 M 22,812 A $0 368,839 D
Common Stock 03/15/2026 M 23,625 A $0 392,464 D
Common Stock 03/15/2026 M 17,762 A $0 410,226 D
Common Stock 03/16/2026 F(1) 15,756 D $7.86 394,470 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (2) 03/15/2026 M 22,812 (3) (4) Common Stock 22,812 $0 159,688 D
Restricted Stock Units (2) 03/15/2026 M 23,625 (5) (4) Common Stock 23,625 $0 259,875 D
Restricted Stock Units (2) 03/15/2026 M 17,762 (6) (4) Common Stock 17,762 $0 266,438 D
Explanation of Responses:
1. The transaction represents the number of shares of Common Stock withheld by the Issuer to satisfy tax withholding liabilities in connection with the net settlement of restricted stock units.
2. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement.
3. 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 vested on March 15, 2024.
4. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.
5. 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 vested on March 15, 2025.
6. 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 vested on March 15, 2026.
/s/ Lauren Lin, as Attorney-in-Fact 03/17/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did WLTH CFO Alan Imberman report on this Form 4?

Alan Imberman reported settlement of restricted stock units into Common Stock and related tax withholding. Several "M" code transactions exercised or converted RSUs, and one "F" code transaction reflected shares withheld by the company to satisfy tax obligations.

How many WLTH shares were acquired through equity awards in this filing?

The filing shows exercises or conversions of restricted stock units totaling 64,199 shares of Common Stock. These "M" code transactions represent compensation-related equity settlement rather than open-market purchases, increasing the CFO’s direct share ownership in WEALTHFRONT CORP.

How many WLTH shares were withheld for taxes in the CFO’s Form 4?

The Form 4 reports that 15,756 shares of WEALTHFRONT CORP Common Stock were withheld. The footnotes explain this "F" code transaction satisfied tax withholding liabilities tied to the net settlement of restricted stock units, not an open-market sale by the CFO.

What is Alan Imberman’s WLTH Common Stock holding after these transactions?

After the reported transactions, Alan Imberman directly held 394,470 shares of WEALTHFRONT CORP Common Stock. This post-transaction balance reflects both the restricted stock unit settlements and the shares withheld by the issuer for tax obligations described in the filing.

Do the WLTH transactions involve open-market buying or selling by the CFO?

No open-market buying or selling is reported. The "M" code entries reflect derivative exercises or conversions of restricted stock units, while the single "F" code entry is a tax-withholding disposition where the issuer withheld shares to cover tax liabilities on vested awards.

How do the WLTH restricted stock units in this filing vest over time?

Footnotes state each restricted stock unit award vests in sixteenth increments quarterly on March 15, June 15, September 15, and December 15. Vesting requires continued service, with first tranches starting on March 15 of 2024, 2025, and 2026, depending on the award.