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Wealthfront (WLTH) CFO details option exercise, RSU settlements and sale

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Wealthfront Corp (WLTH) CFO and Treasurer reported multiple equity transactions involving company stock. On 09/05/2025, she exercised a stock option for 40,000 shares of common stock at $2.45 per share in an exempt transaction with the issuer. On 12/11/2025, restricted stock units were settled for 95,785, 159,687, and 70,875 shares of common stock, and the issuer withheld 118,893 shares at $14 per share to cover tax obligations. She also sold 100,000 shares of common stock at $14 per share, participating in the issuer’s secondary offering in conjunction with its IPO, and held 186,865 shares directly afterward.

The filing also shows an award of 284,200 restricted stock units subject to performance-based conditions satisfied in connection with the IPO and a service-based schedule that vests quarterly on March 15, June 15, September 15, and December 15, with certain tranches vesting through March 15, 2026, contingent on continued service. Time-vested portions of some awards were settled for shares in connection with the IPO.

Positive

  • None.

Negative

  • None.
Insider Imberman Alan
Role CFO and Treasurer
Sold 100,000 shs ($1.40M)
Type Security Shares Price Value
Exercise Restricted Stock Units 95,785 $0.00 --
Exercise Restricted Stock Units 159,687 $0.00 --
Exercise Restricted Stock Units 70,875 $0.00 --
Exercise Common Stock 95,785 $0.00 --
Exercise Common Stock 159,687 $0.00 --
Exercise Common Stock 70,875 $0.00 --
Tax Withholding Common Stock 118,893 $14.00 $1.66M
Sale Common Stock 100,000 $14.00 $1.40M
Grant/Award Restricted Stock Units 284,200 $0.00 --
Exercise Stock Option (Right to Buy) 40,000 $0.00 --
Exercise Common Stock 40,000 $2.45 $98K
Holdings After Transaction: Restricted Stock Units — 0 shares (Direct); Common Stock — 175,196 shares (Direct); Stock Option (Right to Buy) — 0 shares (Direct)
Footnotes (1)
  1. The transaction occurred prior to the Issuer's registration of a class of equity securities under Section 12 of the Securities Exchange Act of 1934, as amended, in connection with the Issuer's initial public offering ("IPO"), and the transaction is reported herein pursuant to Rule 16a-2(a). The reported transaction is an exempt transaction with the Issuer. 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. The reported sale transaction represents the reporting person's participation in the Issuer's secondary offering, which occurred in conjunction with the IPO. 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 October 26, 2019. 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 was satisfied in connection with the Issuer's initial public offering, 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. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date. 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 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 was 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 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 were 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 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 were settled for shares of the Issuer's Common Stock in connection with the IPO.
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)
09/05/2025
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 09/05/2025(1) M 40,000 A $2.45 79,411 D
Common Stock 12/11/2025 M 95,785 A $0 175,196 D
Common Stock 12/11/2025 M 159,687 A $0 334,883 D
Common Stock 12/11/2025 M 70,875 A $0 405,758 D
Common Stock 12/11/2025 F(2) 118,893 D $14 286,865 D
Common Stock 12/11/2025 S(3) 100,000 D $14 186,865 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
Stock Option (Right to Buy) $2.45 09/05/2025(1) M 40,000 (4) 11/10/2025 Common Stock 40,000 $0 0 D
Restricted Stock Units (5) 10/13/2025(1) A 284,200 (6) (7) Common Stock 284,200 $0 284,200 D
Restricted Stock Units (5) 12/11/2025 M 95,785 (8) (7) Common Stock 95,785 $0 0 D
Restricted Stock Units (5) 12/11/2025 M 159,687 (9) (7) Common Stock 159,687 $0 205,313 D
Restricted Stock Units (5) 12/11/2025 M 70,875 (10) (7) Common Stock 70,875 $0 307,125 D
Explanation of Responses:
1. The transaction occurred prior to the Issuer's registration of a class of equity securities under Section 12 of the Securities Exchange Act of 1934, as amended, in connection with the Issuer's initial public offering ("IPO"), and the transaction is reported herein pursuant to Rule 16a-2(a). The reported transaction is an exempt transaction with the Issuer.
2. 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.
3. The reported sale transaction represents the reporting person's participation in the Issuer's secondary offering, which occurred in conjunction with the IPO.
4. 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 October 26, 2019.
5. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement.
6. The award was granted subject to a performance-based vesting condition which was satisfied in connection with the Issuer's initial public offering, 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.
7. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.
8. 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 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 was settled for shares of the Issuer's Common Stock in connection with the IPO.
9. 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 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 were settled for shares of the Issuer's Common Stock in connection with the IPO.
10. 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 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 were settled for shares of the Issuer's Common Stock in connection with the IPO.
/s/ Lauren Lin, as Attorney-in-Fact 12/15/2025
** 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.
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Source: View Original Filing on SEC EDGAR

FAQ

What insider stock transactions did Wealthfront (WLTH) disclose for its CFO?

The CFO and Treasurer of Wealthfront Corp reported exercising an option for 40,000 shares at $2.45 per share, settlement of restricted stock units into multiple blocks of common stock on 12/11/2025, tax withholding of 118,893 shares at $14 per share, and a sale of 100,000 shares at $14 per share.

How many Wealthfront (WLTH) shares did the CFO sell and at what price?

On 12/11/2025, the CFO sold 100,000 shares of Wealthfront common stock at a price of $14 per share in a sale that represented her participation in the company’s secondary offering conducted in conjunction with its IPO.

How many Wealthfront (WLTH) shares does the CFO own after these transactions?

Following the reported transactions, the CFO beneficially owned 186,865 shares of Wealthfront common stock held directly.

What option exercise by the Wealthfront (WLTH) CFO is reported?

The filing reports that on 09/05/2025 the CFO exercised a stock option for 40,000 shares of Wealthfront common stock at an exercise price of $2.45 per share. The option was fully vested under her award agreement.

What restricted stock unit (RSU) activity did Wealthfront (WLTH) disclose for its CFO?

The filing shows an award of 284,200 restricted stock units subject to a performance-based condition satisfied in connection with the IPO and a service-based vesting schedule. On 12/11/2025, RSUs were settled for 95,785, 159,687, and 70,875 shares of common stock, and certain time-vested portions of awards were settled for shares in connection with the IPO.

How do the Wealthfront (WLTH) CFO’s RSUs vest over time?

The RSU awards vest based on both performance and service conditions. After performance conditions were satisfied in connection with the IPO, the awards vest as to fractions of the total amounts quarterly on the fifteenth day of March, June, September, and December, with schedules that include vesting tranches beginning on March 15, 2023, March 15, 2024, March 15, 2025, and March 15, 2026, subject to the CFO’s continued service.