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SoFi Executive's Stock Holdings Jump to 265K Shares After Major RSU Vesting

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

SoFi Technologies (SOFI) EVP Kelli Keough reported multiple transactions involving Restricted Stock Units (RSUs) and common stock on June 16-17, 2025:

  • Acquired 122,187 shares through RSU settlements: - 82,643 shares from August 2024 grant - 26,477 shares from August 2024 grant - 13,067 shares from March 2025 grant
  • Disposed of 59,962 shares at $14.658 per share to satisfy tax withholding obligations
  • Following these transactions, Keough holds: - 265,734 shares of common stock (direct ownership) - 578,501 unvested RSUs from first grant - 291,244 unvested RSUs from second grant - 196,015 unvested RSUs from third grant

These transactions represent standard RSU vesting events and associated tax withholding dispositions for an executive officer, indicating continued alignment with shareholder interests through equity-based compensation.

Positive

  • None.

Negative

  • None.
Insider Keough Kelli
Role EVP, GBUL, SIPS
Type Security Shares Price Value
Tax Withholding Common Stock 59,962 $14.658 $879K
Exercise Restricted Stock Unit 82,643 $0.00 --
Exercise Restricted Stock Unit 26,477 $0.00 --
Exercise Restricted Stock Unit 13,067 $0.00 --
Grant/Award Common Stock 82,643 $0.00 --
Grant/Award Common Stock 26,477 $0.00 --
Grant/Award Common Stock 13,067 $0.00 --
Holdings After Transaction: Common Stock — 265,734 shares (Direct); Restricted Stock Unit — 578,501 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 sold 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 Form 3 filed on August 2, 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*
Keough Kelli
(Last) (First) (Middle)
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)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, GBUL, SIPS
3. Date of Earliest Transaction (Month/Day/Year)
06/16/2025
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 06/16/2025 A 82,643 A (1) 286,152 D
Common Stock 06/16/2025 A 26,477 A (1) 312,629 D
Common Stock 06/16/2025 A 13,067 A (1) 325,696 D
Common Stock 06/17/2025 F 59,962 D $14.658(2) 265,734 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) 06/16/2025 M 82,643 (3) (3) Common Stock 82,643 $0 578,501 D
Restricted Stock Unit (1) 06/16/2025 M 26,477 (3) (3) Common Stock 26,477 $0 291,244 D
Restricted Stock Unit (1) 06/16/2025 M 13,067 (4) (4) Common Stock 13,067 $0 196,015 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 3 filed on August 2, 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 06/18/2025
** 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

How many SOFI shares did EVP Kelli Keough acquire on June 16, 2025?

On June 16, 2025, Kelli Keough acquired a total of 122,187 shares of SOFI common stock through three separate RSU settlements: 82,643 shares, 26,477 shares, and 13,067 shares.

How many SOFI shares did Kelli Keough sell for tax purposes?

On June 17, 2025, Kelli Keough disposed of 59,962 shares at a price of $14.658 per share to satisfy tax withholding obligations related to the vesting of RSUs. These shares were not issued to her directly.

What is Kelli Keough's position at SOFI?

Kelli Keough serves as EVP, GBUL, SIPS at SoFi Technologies, Inc. This is indicated in the filing where she is marked as an Officer of the company.

How many SOFI shares does Kelli Keough own after these transactions?

After all reported transactions, Kelli Keough directly owns 265,734 shares of SOFI common stock. Additionally, she holds beneficial ownership of 578,501, 291,244, and 196,015 restricted stock units (RSUs).

What was the nature of SOFI insider Kelli Keough's June 2025 transactions?

The transactions involved the settlement of previously granted RSUs into common stock, followed by the sale of a portion of shares for tax withholding purposes. The RSUs were converted to shares at no cost, and 59,962 shares were sold at $14.658 per share for tax obligations.