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[Form 4] SoFi Technologies, Inc. Insider Trading Activity

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

SoFi Technologies, Inc. reported an insider equity transaction by its chief executive officer and director. On 12/15/2025, the executive settled restricted stock units (RSUs) into common shares, acquiring 559,716 and 17,134 shares of common stock through transactions coded "M," which reflect RSU conversions. RSUs give the right to receive one share of common stock for no cash payment when they vest.

To cover tax withholding related to these stock-settled RSUs, 305,304 shares were withheld in a transaction coded "F" at a price of $27.28 per share; these withheld shares were not issued to the executive. After these transactions, the executive directly beneficially owned 11,619,452 shares of SoFi common stock and continued to hold RSUs representing 1,394,974 and 976,582 underlying shares, which may settle into stock in the future.

Positive

  • None.

Negative

  • None.
Insider Noto Anthony
Role Chief Executive Officer
Type Security Shares Price Value
Exercise Restricted Stock Unit 559,716 $0.00 --
Exercise Restricted Stock Unit 17,134 $0.00 --
Exercise Common Stock 559,716 $0.00 --
Exercise Common Stock 17,134 $0.00 --
Tax Withholding Common Stock 305,304 $27.28 $8.33M
Holdings After Transaction: Restricted Stock Unit — 1,394,974 shares (Direct); Common Stock — 11,907,622 shares (Direct)
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 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 28, 2022, March 22, 2023, and 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.
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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 CA 94105
(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
12/15/2025
4. 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 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 12/15/2025 M 559,716 A (1) 11,907,622 D
Common Stock 12/15/2025 M 17,134 A (1) 11,924,756 D
Common Stock 12/15/2025 F 305,304 D $27.28(2) 11,619,452 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) 12/15/2025 M 559,716 (3) (3) Common Stock 559,716 $0 1,394,974 D
Restricted Stock Unit (1) 12/15/2025 M 17,134 (4) (4) Common Stock 17,134 $0 976,582 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 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 28, 2022, March 22, 2023, and 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.
Remarks:
/s/ Deanna M. Smith, Attorney-in-Fact 12/17/2025
** 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 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SoFi Technologies (SOFI) report on December 15, 2025?

A SoFi Technologies, Inc. chief executive officer and director reported settling restricted stock units into common stock on 12/15/2025. The filings show RSU conversions into 559,716 and 17,134 shares of common stock and related tax withholding activity.

How many SoFi (SOFI) shares did the insider acquire and dispose of in this Form 4?

The insider acquired 559,716 and 17,134 SoFi common shares through RSU settlements and had 305,304 shares withheld at $27.28 per share to satisfy tax obligations tied to those RSUs.

What is the insider’s SoFi Technologies (SOFI) share ownership after this transaction?

Following the reported transactions, the insider directly beneficially owned 11,619,452 shares of SoFi Technologies, Inc. common stock, as disclosed in the filing.

What restricted stock unit (RSU) positions does the SoFi (SOFI) insider still hold?

After the 12/15/2025 settlements, the insider continued to hold RSUs covering 1,394,974 and 976,582 underlying shares of SoFi common stock, each RSU representing a right to receive one share upon settlement for no cash consideration.

Why were 305,304 SoFi (SOFI) shares withheld at $27.28 in this Form 4?

The filing states that 305,304 shares were withheld at $27.28 per share to satisfy the tax withholding obligation applicable to the vesting of stock-settled RSUs. These shares were not issued to the reporting person.

What do the transaction codes M and F mean in the SoFi Technologies (SOFI) Form 4?

In this Form 4, the code "M" indicates the settlement of restricted stock units into common stock, while the code "F" reflects shares withheld to pay taxes due upon RSU vesting, as described in the explanation of responses.