| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/11/2025 |
3. Issuer Name and Ticker or Trading Symbol
WEALTHFRONT CORP [ WLTH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 08/22/2028 | Common Stock | 1,012,000 | $1.79 | D | |
| Stock Option (Right to Buy) | (2) | 01/14/2031 | Common Stock | 136,966 | $1.39 | D | |
| Restricted Stock Units | (3) | (4) | Common Stock | 95,785 | (5) | D | |
| Restricted Stock Units | (6) | (4) | Common Stock | 155,000 | (5) | D | |
| Restricted Stock Units | (7) | (4) | Common Stock | 326,200 | (5) | D | |
| Restricted Stock Units | (8) | (4) | Common Stock | 326,200 | (5) | D | |
| Restricted Stock Units | (9) | (4) | Common Stock | 337,800 | (5) | D | |
| Explanation of Responses: |
| 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 June 25, 2022. |
| 2. 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 December 25, 2024. |
| 3. 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. |
| 4. These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date. |
| 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 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 June, September, December, and March, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on June 15, 2022. Time-vested portions of the award will be settled for shares of the Issuer's Common Stock in connection with the IPO. |
| 7. 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 June, September, December, and March, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on June 15, 2023. Time-vested portions of the award will be settled for shares of the Issuer's Common Stock in connection with the IPO. |
| 8. 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 June, September, December, and March, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on June 15, 2024. Time-vested portions of the award will be 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 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 June, September, December, and March, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche time-vested on June 15, 2025. Time-vested portions of the award will be settled for shares of the Issuer's Common Stock in connection with the IPO. |
| /s/ Lauren Lin, as Attorney-in-Fact | 12/11/2025 | |
| ** 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 5 (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. | ||