SoFi Technologies (SOFI) discloses GC stock and RSU holdings details

Rhea-AI Filing Summary

SoFi Technologies, Inc. reported the initial holdings of its General Counsel, Robert S. Lavet, in a Form 3. He beneficially owns 41,905 shares of common stock directly. He also has indirect ownership of 12,172 shares held by the Robert S. Lavet Trust and 2,210 shares held by the Robert S. Lavet Trust and the Lorraine Lavet Trust as joint tenants in common.

Lavet also holds restricted stock units linked to SoFi Bank, N.A. board service before his current employment. One RSU award covers 5,149 shares of common stock and vests at the earlier of the next annual shareholder meeting after June 9, 2025 or the 12‑month anniversary of that date. A second RSU award for 2,823 shares vests on a similar schedule tied to the next annual meeting after July 21, 2025. Each RSU converts into one share of common stock for no cash payment.

SEC Form 3

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^*

Lavet Robert S

(Last) (First) (Middle)

C/O SOFI TECHNOLOGIES, INC.

234 1ST STREET

(Street)

SAN FRANCISCO CA 94105

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/14/2026

3. Issuer Name and Ticker or Trading Symbol
SoFi Technologies, Inc. [ SOFI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel

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

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

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

Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock	41,905	D
Common Stock	12,172	I	The Reporting Person is a beneficiary and trustee of the Robert S. Lavet Trust(1)
Common Stock	2,210	I	The Reporting Person is a beneficiary and trustee of the Robert S. Lavet Trust.(2)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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
Restricted Stock Unit	(3)	(3)	Common Stock	5,149	(4)	D
Restricted Stock Unit	(5)	(5)	Common Stock	2,823	(4)	D

Explanation of Responses:

1. The shares are held by the Robert S. Lavet Trust.

2. The shares are held by the Robert S. Lavet Trust and the Lorraine Lavet Trust as joint tenants in common.

3. Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the Reporting Person, in his capacity as a non-employee director of SoFi Bank, N.A. ("SoFi Bank"), a subsidiary of the Issuer, prior to his current employment with the Issuer. The RSU award will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after June 9, 2025 (the "June Vesting Commencement Date") or (ii) the 12 month anniversary of the June Vesting Commencement Date.

4. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

5. Represents shares issuable on settlement of RSUs granted to the Reporting Person, in his capacity as a non-employee director of SoFi Bank prior to his current employment with the Issuer. The RSU award will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 21, 2025 (the "July Vesting Commencement Date") or (ii) the 12 month anniversary of the July Vesting Commencement Date.

Remarks:

	/s/ Deanna M. Smith, Attorney-in-Fact	01/16/2026
	** 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 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.

FAQ

What does the SoFi (SOFI) Form 3 filing disclose about Robert S. Lavet?

The filing shows that Robert S. Lavet, General Counsel of SoFi Technologies, Inc., reported his initial beneficial ownership of the company’s common stock and restricted stock units.

How many SoFi (SOFI) common shares does Robert S. Lavet hold directly?

Robert S. Lavet directly owns 41,905 shares of SoFi common stock, reported as directly held (D) beneficial ownership.

What indirect SoFi (SOFI) holdings are reported through trusts for Robert S. Lavet?

He indirectly owns 12,172 shares held by the Robert S. Lavet Trust and 2,210 shares held by the Robert S. Lavet Trust and the Lorraine Lavet Trust as joint tenants in common.

What RSU awards related to SoFi Bank are reported for Robert S. Lavet?

The filing lists RSUs for 5,149 shares and 2,823 shares of SoFi common stock, granted for his prior service as a non-employee director of SoFi Bank, N.A., a subsidiary of SoFi Technologies.

When do Robert S. Lavet’s SoFi (SOFI) RSUs vest?

The 5,149-share RSU award vests at the earlier of the next annual shareholder meeting after June 9, 2025 or 12 months after that date. The 2,823-share RSU award vests at the earlier of the next annual shareholder meeting after July 21, 2025 or 12 months after that date.

What does each RSU represent in the SoFi (SOFI) Form 3 for Robert S. Lavet?

Each RSU represents a contingent right to receive one share of SoFi common stock upon settlement for no consideration, meaning no cash payment is required at settlement.

What is Robert S. Lavet’s role at SoFi Technologies (SOFI)?

Robert S. Lavet is reported as an officer of SoFi Technologies, Inc., serving as the company’s General Counsel.