Wealthfront Corp. SEC Filings

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.

Wealthfront Corp.'s CEO, president and director reported extensive equity activity in the company’s common stock. On December 11, 2025, multiple restricted stock unit awards and stock options were exercised and settled into shares, with many awards’ performance conditions satisfied in connection with the IPO.

The reporting person had 1,528,003 shares withheld at $14 per share to cover tax obligations from RSU settlements, then sold 765,154 shares at $14 as part of the issuer’s secondary offering in conjunction with its initial public offering. Additional option exercises added 220,000, 242,000 and 162,784 shares at exercise prices of $2.45, $1.67 and $1.50, leaving 1,481,051 shares held directly after the transactions and 153,503 shares held indirectly through a spouse, who also exercised and sold shares on the same date.

Wealthfront Corporation is conducting an initial public offering of 34,615,384 shares of common stock at $14.00 per share, consisting of 21,468,038 new shares from the company and 13,147,346 shares from selling stockholders. The company expects to receive approximately $282.1 million in gross proceeds before expenses, while selling stockholders will receive about $172.7 million; the company will not receive any proceeds from their sales. Underwriters have a 30-day option to purchase up to an additional 5,192,308 shares from Wealthfront at the IPO price less underwriting discounts. At the midpoint of its recent preliminary results for the quarter ended October 31, 2025, Wealthfront estimates revenue growth of about the mid-teens percentage year over year, continued strong profitability with net income around $29–30 million, and Adjusted EBITDA rising to roughly the mid-$40 million range, supported by growing platform assets and a largely cash-management-driven revenue mix.

Wealthfront Corp has disclosed the initial beneficial ownership of a director in connection with the company’s common stock. The filing shows the director holds restricted stock units covering 34,014 shares of common stock, owned directly.

The RSU award is subject to both a performance-based vesting condition tied to the company’s initial public offering and a service-based vesting schedule. The award vests in 16 equal quarterly installments on the fifteenth day of September, December, March, and June, with the first portion time-vesting on September 15, 2025. Time-vested portions will be settled in shares of common stock in connection with the IPO, and each unit represents a contingent right to receive one share.

Wealthfront Corp reported an initial insider ownership position for a director as of December 11, 2025. The director beneficially owns 34,014 restricted stock units tied to Wealthfront common stock.

The award is subject to a performance condition that will be satisfied in connection with Wealthfront’s initial public offering and also follows a service-based vesting schedule. One sixteenth of the units vest quarterly on the fifteenth day of March, June, September, and December, with the first tranche scheduled for March 15, 2026, if the director continues to serve. These units do not expire; they either vest or are cancelled, and each vested unit converts into one share of common stock upon settlement.

Wealthfront Corp disclosed that one of its directors beneficially owns several equity interests tied to its IPO. The filing reports Series C preferred stock convertible into 53,732 shares of common stock held through the Goldman-Valeriote Family Trust, a fully vested stock option for 300,000 common shares at $2.91 per share, and multiple restricted stock unit awards covering 6,945, 27,778, 30,500, 15,496 and 17,007 shares. Most RSUs and the preferred shares will settle or convert into common stock in connection with the IPO, while one RSU grant is scheduled to vest on March 15, 2026.

Wealthfront Corp directors and DAG Ventures–affiliated entities filed a Form 3 initial statement of beneficial ownership dated 12/11/2025. They report indirect ownership of 32,570 shares of Common Stock through DAG Ventures IV, L.P. and 308,232 shares of Common Stock through DAG Ventures IV-QP, L.P. The filing also lists holdings of Series C, Series D, Series E, Series F, Series G and Series G-1 Preferred Stock, each convertible into Common Stock on a 1-for-1 basis with no expiration date, which will be converted into Common Stock upon the closing of the issuer's initial public offering. DAG Ventures Management IV, LLC and Messrs. John J. Cadeddu and R. Thomas Goodrich may be deemed to share voting and dispositive power over these securities, but each disclaims beneficial ownership except to the extent of its or his proportionate pecuniary interest.

Wealthfront Corp (WLTH) executive Lauren Lin, the company’s CLO, CCO and Secretary, filed a beneficial ownership report dated 12/11/2025. The filing shows stock options to purchase 59,132 shares of Common Stock at $1.16 expiring 05/13/2030 and 22,500 shares at $2.91 expiring 04/20/2031, all held directly. It also lists several restricted stock unit awards for Common Stock, including grants for 5,237, 19,445, 200,000, 150,000, 75,000 and 205,550 shares. These RSUs do not expire, each unit represents a right to receive one share, and many awards include performance-based vesting conditions tied to the company’s initial public offering along with quarterly service-based vesting schedules.

Wealthfront Corp insiders reported their initial beneficial ownership, highlighting significant indirect holdings tied to Tiger Global investment entities and Charles P. Coleman III. The filing shows indirect ownership of 3,972,747 shares of Wealthfront common stock, $0.0001 par value per share. It also lists Series G preferred stock convertible into 14,359,800 shares of common stock and Series G-1 preferred stock convertible into 3,829,242 shares of common stock, each convertible at any time at the holder’s election and with no expiration date. Both series will automatically convert into the same number of common shares upon the closing of Wealthfront’s initial public offering. The reporting persons mark their relationship to the issuer as director and expressly disclaim beneficial ownership beyond their pecuniary interest and state they do not form a “group” for Section 16 purposes.