SoFi (NASDAQ: SOFI) CEO Noto settles RSUs, uses shares for taxes

Rhea-AI Filing Summary

SoFi Technologies CEO Anthony Noto reported RSU settlements and related tax withholding in stock. On June 15, 2026, he exercised restricted stock units into a total of 345,553 shares of common stock in several transactions coded “M.”

In a separate “F” transaction, 187,018 shares of common stock were withheld to cover tax obligations tied to the vesting of stock‑settled RSUs; these shares were not issued to or sold by him. After these transactions, he directly holds 12,119,042 shares of common stock and 953,158 RSUs, reflecting a routine compensation and tax‑settlement pattern rather than open‑market trading.

Insights

Equity compensation analyst

Noto’s Form 4 shows routine RSU vesting with shares withheld for taxes, not an open-market sale.

Anthony Noto exercised restricted stock units into 345,553 shares of SoFi Technologies common stock on June 15, 2026. These “M” code entries represent derivative exercises, converting RSUs into shares as part of his long-term equity compensation.

One “F” code entry shows 187,018 shares withheld to satisfy tax obligations from stock-settled RSU vesting. Footnotes clarify these shares were never issued to or sold by him. Following the transactions, he holds 12,119,042 common shares and 953,158 RSUs, indicating a large continuing equity position and a mechanistic tax event rather than discretionary buying or selling.

Insider Trade Summary

345,553 shares exercised/converted

Mixed 7 txns

Insider Noto Anthony

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Unit	136,165	$0.00	--
Exercise	Restricted Stock Unit	154,198	$0.00	--
Exercise	Restricted Stock Unit	55,190	$0.00	--
Exercise	Common Stock	136,165	$0.00	--
Exercise	Common Stock	154,198	$0.00	--
Exercise	Common Stock	55,190	$0.00	--
Tax Withholding	Common Stock	187,018	$16.58	$3.10M

Holdings After Transaction: Restricted Stock Unit — 953,158 shares (Direct, null); Common Stock — 12,096,672 shares (Direct, null)

Footnotes (1)

1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Shares withheld to satisfy tax withholding obligation applicable to the vesting of stock-settled RSUs. These shares were not issued to or sold by the Reporting Person. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Forms 4 filed on March 13, 2024. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on March 12, 2025. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on March 11, 2026.

Key Figures

RSU exercises: 345,553 shares Tax withholding shares: 187,018 shares Withholding price: $16.58 per share +2 more

5 metrics

RSU exercises 345,553 shares Total shares from RSU exercises (M code) on June 15, 2026

Tax withholding shares 187,018 shares Withheld to satisfy RSU tax obligations (F code) at $16.58/share

Withholding price $16.58 per share Price used for tax-withholding disposition in common stock

Common shares held 12,119,042 shares Direct SoFi common stock holdings following reported transactions

RSUs held 953,158 units Restricted stock units outstanding after RSU settlements on June 15, 2026

Key Terms

Restricted Stock Unit, tax withholding obligation, Form 4

3 terms

Restricted Stock Unit financial

"Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock..."

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

tax withholding obligation financial

"Shares withheld to satisfy tax withholding obligation applicable to the vesting of stock-settled RSUs."

Form 4 regulatory

"Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Forms 4 filed..."

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

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Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Noto Anthony

(Last) (First) (Middle)

C/O SOFI TECHNOLOGIES, INC.

234 1ST STREET

(Street)

SAN FRANCISCO CALIFORNIA 94105

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/15/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/15/2026		M		136,165	A	(1)	12,096,672	D
Common Stock	06/15/2026		M		154,198	A	(1)	12,250,870	D
Common Stock	06/15/2026		M		55,190	A	(1)	12,306,060	D
Common Stock	06/15/2026		F		187,018	D	$16.58(2)	12,119,042	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Unit	(1)	06/15/2026		M			136,165	(3)	(3)	Common Stock	136,165	$0	953,158	D
Restricted Stock Unit	(1)	06/15/2026		M			154,198	(4)	(4)	Common Stock	154,198	$0	668,187	D
Restricted Stock Unit	(1)	06/15/2026		M			55,190	(5)	(5)	Common Stock	55,190	$0	827,859	D

Explanation of Responses:

1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

2. Shares withheld to satisfy tax withholding obligation applicable to the vesting of stock-settled RSUs. These shares were not issued to or sold by the Reporting Person.

3. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Forms 4 filed on March 13, 2024.

4. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on March 12, 2025.

5. Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on March 11, 2026.

Remarks:

	/s/ Sara C. Thompson, Attorney-in-Fact	06/17/2026
	** 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 4 (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.
* Form 4: SEC 1474 (03-26)

FAQ

What did SoFi (SOFI) CEO Anthony Noto report in this Form 4?

Anthony Noto reported RSU settlements into common stock and related tax withholding in shares. He exercised 345,553 RSU-linked shares and had 187,018 shares withheld to satisfy tax obligations from stock-settled RSU vesting, without any open-market purchases or sales.

Did SoFi CEO Anthony Noto sell SOFI shares in the latest Form 4?

The filing does not show open-market sales by Anthony Noto. Instead, 187,018 shares were withheld by the company to cover tax obligations from RSU vesting, and footnotes state these withheld shares were not issued to or sold by him in the market.

How many SoFi shares did Anthony Noto receive from RSU exercises?

Anthony Noto exercised restricted stock units into 345,553 shares of SoFi common stock across several “M” code transactions. These derivative exercises convert RSUs into actual shares as part of his equity compensation, increasing his direct share ownership before any tax-withholding adjustments.

How many SoFi shares were used for Anthony Noto’s tax withholding?

A total of 187,018 SoFi common shares were withheld to satisfy Anthony Noto’s tax obligations tied to vesting stock-settled RSUs. According to the footnote, these withheld shares were never issued to or sold by him, reflecting a standard equity tax-settlement mechanism.

What are Anthony Noto’s SoFi share and RSU holdings after these transactions?

After these transactions, Anthony Noto directly holds 12,119,042 shares of SoFi common stock and 953,158 restricted stock units. The RSUs each represent a contingent right to receive one common share for no cash consideration upon future settlement, supporting ongoing equity-based alignment with shareholders.