SoFi exec Schuppenhauer RSUs vest, shares withheld

EVP Eric Schuppenhauer reported RSU vesting into SoFi common stock and share withholding for taxes, without using a Rule 10b5-1 plan.

Rhea-AI Filing Summary

SoFi Technologies, Inc. (SOFI) executive Eric Schuppenhauer reported RSU vesting and related tax withholding transactions in SoFi common stock. On September 14, 2026, 6,493 restricted stock units were settled into 6,493 shares of common stock, and a portion of the RSU grant remains outstanding. On September 15, 2026, 2,757 shares were withheld at $17.279 per share to satisfy tax withholding obligations tied to this vesting; these withheld shares were not issued to him. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

6,493 shares exercised/converted

Exercise 3 txns

Insider Schuppenhauer Eric

Role EVP GBUL Borrow

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F2	2,757	$17.279	$48K
Exercise	Restricted Stock Unit F1, F3	6,493	$0.00	$0.00
Exercise	Common Stock F1	6,493	--	--

Holdings After Transaction: Restricted Stock Unit — 90,903 contracts (Direct); Common Stock — 334,335.81 shares (Direct)

Footnotes (3)

1. F1. 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. F2. Shares sold to satisfy tax withholding obligation applicable to the vesting of stock-settled RSUs. These shares were not issued to the Reporting Person.
3. F3. 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

RSUs settled: 6,493 units Common shares issued from RSUs: 6,493 shares Shares withheld for taxes: 2,757 shares +2 more

5 metrics

RSUs settled 6,493 units Restricted stock units settled into common stock on September 14, 2026

Common shares issued from RSUs 6,493 shares Shares of SoFi common stock delivered upon RSU settlement on September 14, 2026

Shares withheld for taxes 2,757 shares Common shares withheld on September 15, 2026 for tax withholding on RSU vesting

Tax withholding reference price $17.279 per share Value used for the 2,757 shares withheld for tax obligations

RSUs held after transaction 90,903 units Restricted stock units reported as held following the September 14, 2026 settlement

Key Terms

Restricted Stock Unit, contingent right, tax withholding obligation, stock-settled RSUs

4 terms

Restricted Stock Unit financial

"Each restricted stock unit ("RSU") represents a contingent right to receive one share"

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.

contingent right financial

"represents a contingent right to receive one share of the Issuer's common stock"

tax withholding obligation financial

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

stock-settled RSUs financial

"tax withholding obligation applicable to the vesting of stock-settled RSUs"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What equity award activity did SOFI executive Eric Schuppenhauer report?

He reported settlement of 6,493 restricted stock units into 6,493 shares of SoFi common stock on September 14, 2026, as part of a previously disclosed RSU grant. A portion of that RSU grant remains outstanding after this settlement.

How many SOFI shares were withheld for Eric Schuppenhauer’s taxes?

On September 15, 2026, 2,757 shares of SoFi common stock were withheld to satisfy the tax withholding obligation arising from the vesting of stock-settled RSUs, at a reference price of $17.279 per share.

Did Eric Schuppenhauer receive all 6,493 SOFI shares from the RSU vesting?

No. While 6,493 shares were issuable upon RSU settlement, 2,757 shares were withheld to satisfy tax withholding obligations. Footnote disclosure states those withheld shares were not issued to him.

Were Eric Schuppenhauer’s SOFI transactions under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox is not marked, and the footnotes do not indicate any trading plan, so no Rule 10b5-1 plan is reported for these transactions.

What does each RSU reported by SOFI for Eric Schuppenhauer represent?

Each reported restricted stock unit (RSU) represents a contingent right to receive one share of SoFi common stock upon settlement for no consideration, meaning no cash payment is required from the executive at settlement.

How many RSUs does Eric Schuppenhauer hold after these SOFI transactions?

After the September 14, 2026 settlement, he is reported to hold 90,903 restricted stock units, representing potential future delivery of an equal number of SoFi common shares upon settlement, subject to the award’s terms.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/16/2026 - 07:42 PM Accepted by SEC EDGAR 09/16/2026 - 07:42 PM Learn about SEC filing dates

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^*

Schuppenhauer Eric

(Last) (First) (Middle)

2601 NETWORK BLVD, SUITE 600

(Street)

FRISCO TEXAS 75034

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP GBUL Borrow

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/14/2026

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	09/14/2026		M		6,493	A	(1)	337,092.81	D
Common Stock	09/15/2026		F		2,757	D	$17.279(2)	334,335.81	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)	09/14/2026		M			6,493	(3)	(3)	Common Stock	6,493	$0	90,903	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 sold 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 Form 4 filed on March 11, 2026.

Remarks:

	/s/ Sara C. Thompson, Attorney-in-Fact	09/16/2026
	** 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 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)