WEALTHFRONT CORP
For the period ended Oct 31, 2025. Filed Jan 23, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Oct 31, 2025 · Filed Jan 23, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference · Filed or Furnished Herewith | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber · Description of Document · Form · File No. · Exhibit · Filing Date | ||||||
| 3.1 · Restated Certificate of Incorporation of Wealthfront Corporation. · X | ||||||
| 3.2 · Restated Bylaws of Wealthfront Corporation. · X | ||||||
| 4.1 | Form of Common Stock certificate of Wealthfront Corporation. | S-1/A | 333-290583 | 4.1 | December 2, 2025 | |
| 4.2 | Amended and Restated Investors’ Rights Agreement among Wealthfront Corporation and certain holders of its capital stock and warrants to purchase shares of its capital stock, dated September 22, 2022. | S-1 | 333-290583 | 4.2 | September 29, 2025 | |
| 4.3 | Plain English Warrant Agreement between Wealthfront Corporation and TriplePoint Capital LLC, dated April 22, 2016. | S-1 | 333-290583 | 4.3 | September 29, 2025 | |
| 4.4 | Form of 2019 Warrant to Purchase Common Stock. | S-1 | 333-290583 | 4.4 | September 29, 2025 | |
| 4.5 | Form of 2020 Warrant to Purchase Common Stock. | S-1 | 333-290583 | 4.5 | September 29, 2025 | |
| 4.6 | Form of 2021 Warrant to Purchase Common Stock. | S-1 | 333-290583 | 4.6 | September 29, 2025 | |
| 10.1 | Form of Indemnity Agreement between Wealthfront Corporation and each of its directors and executive officers. | S-1 | 333-290583 | 10.1 | September 29, 2025 | |
| 10.2 | Wealthfront Corporation 2025 Equity Incentive Plan and related form agreements. | S-1 | 333-290583 | 10.4 | September 29, 2025 | |
| 10.3 | Wealthfront Corporation 2025 Employee Stock Purchase Plan and related form agreements. | S-1 | 333-290583 | 10.5 | September 29, 2025 | |
| 10.4 | Non-Employee Director Compensation Policy | S-1 | 333-290583 | 10.6 | September 29, 2025 | |
| 10.5† | Confirmatory Offer Letter between David Fortunato and Wealthfront Corporation, dated September 26, 2025. | S-1 | 333-290583 | 10.7 | September 29, 2025 | |
| 10.6† | Confirmatory Offer Letter between Kal Iyer and Wealthfront Corporation, dated September 26, 2025. | S-1 | 333-290583 | 10.8 | September 29, 2025 | |
| 10.7† | Confirmatory Offer Letter between Julien Wetterwald and Wealthfront Corporation, dated September 26, 2025. | S-1 | 333-290583 | 10.9 | September 29, 2025 | |
| 10.8 | Form of Change of Control and Severance Agreement between Wealthfront Corporation and each of its named executive officers. | S-1 | 333-290583 | 10.10 | September 29, 2025 | |
| 10.9† | Amended and Restated Credit Agreement between Wealthfront Corporation, as borrower, and Wells Fargo Bank, National Association, as lender, dated October 14, 2025. | S-1/A | 333-290583 | 10.12 | December 2, 2025 | |
| 10.10 | Umbrella Bonus Plan. | |||||
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act. | X | ||||
| 31.2 | Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act. | X | ||||
| 32.1* | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act. | X |
| 32.2* | Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act. | X |
| 101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) | X |
| 101.SCH | iXBRL Taxonomy Extension Schema Document | X |
| 101.CAL | iXBRL Taxonomy Extension Calculation Linkbase Document | X |
| 101.DEF | iXBRL Taxonomy Extension Definition Linkbase Document | X |
| 101.LAB | iXBRL Taxonomy Extension Label Linkbase Document | X |
| 101.PRE | iXBRL Taxonomy Extension Presentation Linkbase Document | X |
| 104 | Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document | X |
†Certain schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K, and we agree to furnish supplementally to the SEC a copy of any omitted schedules or exhibits upon request.
*This certification is not deemed filed for purposes of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.