Wealthfront CFO vests 64K RSUs, sells shares for tax

Wealthfront’s CFO exercised RSUs into common shares and sold a portion primarily to cover tax withholding obligations tied to those vestings.

Rhea-AI Filing Summary

WEALTHFRONT CORP (WLTH) reported that its Chief Financial Officer and Treasurer, Alan Imberman, had multiple equity transactions in mid-September 2026. On September 15, 2026, restricted stock units (RSUs) convertible into an aggregate of 64,199 shares of common stock vested and were exercised, resulting in the acquisition of the corresponding common shares at no cash exercise price.

On the same date, Imberman sold 20,304 shares of common stock at a weighted average price of $10.73 per share, and on September 16, 2026, sold an additional 6,292 shares at a weighted average price of $10.19 per share. According to the company’s disclosure, both sales were made to satisfy tax withholding obligations associated with the RSU vesting, and no Rule 10b5-1 trading plan is reported for these transactions.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 8 txns

Insider Imberman Alan

Role CFO and Treasurer

Sold 26,596 shs ($282K)

Approx. gross sale proceeds $282K

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F3	6,292	$10.191	$64K
Exercise	Restricted Stock Units F4, F5, F6	22,812	$0.00	$0.00
Exercise	Restricted Stock Units F4, F7, F6	23,625	$0.00	$0.00
Exercise	Restricted Stock Units F4, F8, F6	17,762	$0.00	$0.00
Exercise	Common Stock	22,812	$0.00	$0.00
Exercise	Common Stock	23,625	$0.00	$0.00
Exercise	Common Stock	17,762	$0.00	$0.00
Sale	Common Stock F1, F2	20,304	$10.7304	$218K

Holdings After Transaction: Restricted Stock Units — 557,601 contracts (Direct); Common Stock — 473,510 shares (Direct)

Footnotes (8)

1. F1. The reported transaction represents shares of the Issuer's Common Stock sold to satisfy tax withholding obligations incurred in connection with the vesting of restricted stock units.
2. F2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.55 to $10.88 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote and in footnote 3 of this Form 4.
3. F3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.96 to $10.83 per share, inclusive.
4. F4. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement.
5. F5. 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.
6. F6. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.
7. F7. 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.
8. F8. 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.

Key Figures

Shares sold September 15, 2026: 20,304 shares Weighted average sale price September 15, 2026: $10.73 per share Shares sold September 16, 2026: 6,292 shares +3 more

6 metrics

Shares sold September 15, 2026 20,304 shares CFO sale of Wealthfront common stock at weighted average price

Weighted average sale price September 15, 2026 $10.73 per share Multiple trades ranging from $10.55 to $10.88 per share

Shares sold September 16, 2026 6,292 shares CFO sale of Wealthfront common stock at weighted average price

Weighted average sale price September 16, 2026 $10.19 per share Multiple trades ranging from $9.96 to $10.83 per share

RSUs converted to common stock 64,199 units/shares Three RSU awards exercised into common stock on September 15, 2026

Individual RSU tranches 22,812; 23,625; 17,762 units Three separate RSU awards, each unit representing one share upon settlement

Key Terms

Restricted Stock Units, weighted average price, tax withholding obligations, contingent right

4 terms

Restricted Stock Units financial

"Each restricted stock unit represents a contingent right to receive one share"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

weighted average price financial

"The reported price in Column 4 is a weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

tax withholding obligations financial

"shares of the Issuer's Common Stock sold to satisfy tax withholding obligations"

contingent right financial

"represents a contingent right to receive one share of the Issuer's Common Stock"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did WLTH’s CFO Alan Imberman report in this Form 4?

Alan Imberman reported RSU vestings converting into 64,199 shares of Wealthfront common stock on September 15, 2026, and sales of 20,304 shares on September 15 and 6,292 shares on September 16, 2026. The company states the sales were to satisfy tax withholding obligations from the RSU vesting.

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

The CFO sold 20,304 shares of WLTH on September 15, 2026, at a weighted average price of $10.73 per share, and 6,292 shares on September 16, 2026, at a weighted average price of $10.19 per share. Both prices reflect multiple trades within the stated ranges.

Were the WLTH share sales by the CFO discretionary or related to tax obligations?

The company states that the reported sales of WLTH common stock by the CFO were made to satisfy tax withholding obligations incurred in connection with the vesting of restricted stock units, indicating they were tied to tax requirements rather than disclosed as discretionary open-market sales.

How many restricted stock units vested for the WLTH CFO in this reporting period?

Three RSU awards vested or were exercised into common stock, covering 22,812, 23,625, and 17,762 units respectively, for a total of 64,199 RSUs. Each unit represents a contingent right to receive one share of Wealthfront common stock upon settlement.

Is there a Rule 10b5-1 trading plan associated with these WLTH insider transactions?

No. The filing’s Rule 10b5-1 checkbox is not marked as being made under such a plan, and there is no footnote indicating that these transactions were executed pursuant to a Rule 10b5-1 or pre-arranged trading plan.

What vesting schedule applies to the WLTH CFO’s restricted stock units?

The RSU awards vest as to 1/16 of the total award quarterly on March 15, June 15, September 15, and December 15, subject to continued service. The first tranches for these awards vested on March 15, 2024, March 15, 2025, and March 15, 2026, respectively.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/17/2026 - 04:18 PM Accepted by SEC EDGAR 09/17/2026 - 04:17 PM Learn about SEC filing dates

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 CALIFORNIA 94301

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/15/2026		M		22,812	A	$0	458,719	D
Common Stock	09/15/2026		M		23,625	A	$0	482,344	D
Common Stock	09/15/2026		M		17,762	A	$0	500,106	D
Common Stock	09/15/2026		S(1)		20,304	D	$10.7304(2)	479,802	D
Common Stock	09/16/2026		S(1)		6,292	D	$10.191(3)	473,510	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	(4)	09/15/2026		M			22,812	(5)	(6)	Common Stock	22,812	$0	114,063	D
Restricted Stock Units	(4)	09/15/2026		M			23,625	(7)	(6)	Common Stock	23,625	$0	212,625	D
Restricted Stock Units	(4)	09/15/2026		M			17,762	(8)	(6)	Common Stock	17,762	$0	230,913	D

Explanation of Responses:

1. The reported transaction represents shares of the Issuer's Common Stock sold to satisfy tax withholding obligations incurred in connection with the vesting of restricted stock units.

2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.55 to $10.88 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote and in footnote 3 of this Form 4.

3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.96 to $10.83 per share, inclusive.

4. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock upon settlement.

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, 2024.

6. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.

7. 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.

8. 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	09/17/2026
	** 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.
* Form 4: SEC 1474 (03-26)