Every Form 4 that SHF Holdings, Inc. (SHFS) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow SHFS and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full SHFS filings page.
SHF Holdings, Inc. Chief Marketing Officer Jeffrey R. Kay reported multiple transactions in Series B securities. On September 30, 2025, he entered a Securities Purchase Agreement under which the company issued 63 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants to buy 4,057 shares of common stock at a conversion price of $7.7644 per share, with the warrants expiring on May 10, 2029. The acquisition was subject to shareholder approval obtained on November 6, 2025. The Series B Preferred Stock is perpetual. The company later redeemed one preferred share on December 10, 2025 and another on December 31, 2025, leaving Kay with 61 Series B preferred shares. The filing notes the transactions were reported late due to an administrative oversight.
SHF Holdings, Inc. director and senior executive Terrance Elliot Mendez increased his exposure to the company through preferred stock, warrants, and stock options tied to a financing milestone. On September 30, 2025, he bought 125 shares of Series B Convertible Preferred Stock at $800 per share and received Series B Warrants to purchase 8,050 shares of common stock at a $7.7644 exercise price, under a Securities Purchase Agreement on the same terms as other participants and subject to shareholder approval obtained on November 6, 2025. That day he also received a stock option grant for 91,751 common shares at a $2.40 exercise price, vesting in full once the company completed an equity financing with at least $4 million in gross proceeds, which occurred on September 30, 2025. The company subsequently redeemed one Series B preferred share on December 10, 2025 and one more on December 31, 2025 under the preferred stock’s terms, leaving him with 123 Series B preferred shares.
SHF Holdings, Inc. Chief Investment & Strategy Officer Michael Regan reported several 2025 equity-linked transactions. On September 30, 2025, he entered a Securities Purchase Agreement under which the company issued 63 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants initially exercisable for 4,057 common shares at $7.7644, on the same terms as other participants, subject to shareholder approval obtained on November 6, 2025. That day he also held a previously granted stock option for 45,875 common shares at $2.40, which vested 100% when the company completed an equity financing with at least $4 million in gross proceeds on September 30. The company later redeemed one Series B Preferred share on December 10, 2025 and another on December 31, 2025, leaving 61 Series B Preferred shares. The filing notes it was reported late due to an administrative oversight.
SHF Holdings, Inc. director Richard Carleton entered into a Securities Purchase Agreement on September 30, 2025, under which the company issued and sold to him 13 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants to buy 837 shares of common stock at $7.7644 per share. The acquisition of these securities was subject to shareholder approval, which was obtained on November 6, 2025. The Series B Preferred Stock is perpetual. The company later redeemed one share of his Series B Preferred Stock on December 10, 2025 and one share on December 31, 2025, leaving him with 11 Series B Preferred shares reported as of year-end.
SHF Holdings, Inc. reported that PAO SVP of Finance Controller Douglas Beck received a grant of stock options covering 45,875 shares of common stock at an exercise price of $2.40 per share. The options were granted on August 7, 2025 and were subject to a financing vesting condition tied to an equity financing that generated at least $4 million in gross proceeds for the company. This condition was met on September 30, 2025, causing the options to vest 100% on that date. Following this compensation-related award, Beck holds 45,875 stock options directly, with an expiration date of August 7, 2035. The filing notes the transaction was reported late due to an administrative oversight.