SoFi counsel vests 36K RSUs, withholds shares

SoFi’s General Counsel reported RSU vesting into common stock with shares withheld to cover related tax obligations.

Rhea-AI Filing Summary

SoFi Technologies, Inc. (SOFI) reported that General Counsel Robert S. Lavet had a portion of his stock awards vest and settle. On September 14, 2026, 36,057 Restricted Stock Units (RSUs) were settled into 36,057 shares of common stock, with a reported 36,058 RSUs remaining after the transaction. On September 15, 2026, 14,414 shares of common stock were delivered or withheld at $17.279 per share to satisfy the tax withholding obligation related to the vesting of stock-settled RSUs; these tax shares were not issued to Mr. Lavet. No Rule 10b5-1 trading plan is indicated for these transactions.

Insider Trade Summary

36,057 shares exercised/converted

Exercise 3 txns

Insider Lavet Robert S

Role General Counsel

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F2	14,414	$17.279	$249K
Exercise	Restricted Stock Unit F1, F3	36,057	$0.00	$0.00
Exercise	Common Stock F1	36,057	--	--

Holdings After Transaction: Restricted Stock Unit — 36,058 contracts (Direct); Common Stock — 109,843 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 February 11, 2026.

Key Figures

RSUs settled: 36,057 RSUs Common shares received from RSU settlement: 36,057 shares RSUs remaining after settlement: 36,058 RSUs +2 more

5 metrics

RSUs settled 36,057 RSUs RSUs settled into common stock on September 14, 2026

Common shares received from RSU settlement 36,057 shares Common stock underlying RSUs settled on September 14, 2026

RSUs remaining after settlement 36,058 RSUs Reported RSU balance following the September 14, 2026 settlement

Shares for tax withholding 14,414 shares Shares delivered or withheld for tax withholding on September 15, 2026

Tax withholding reference price $17.279 per share Price applied to 14,414 shares used to satisfy tax withholding

Key Terms

Restricted Stock Unit ("RSU"), contingent right, tax withholding obligation, stock-settled RSUs

4 terms

Restricted Stock Unit ("RSU") financial

"Each restricted stock unit ("RSU") represents a contingent right"

contingent right financial

"represents a contingent right to receive one share"

tax withholding obligation financial

"Shares sold to satisfy tax withholding obligation applicable"

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’s General Counsel report on this Form 4?

The General Counsel reported the settlement of 36,057 RSUs into 36,057 shares of common stock on September 14, 2026, with 36,058 RSUs remaining reported after that settlement.

How many SOFI shares were used to cover taxes on the RSU vesting?

On September 15, 2026, 14,414 shares of common stock were delivered or withheld to satisfy the tax withholding obligation tied to the RSU vesting at a reference price of $17.279 per share. The filing notes these tax shares were not issued to the reporting person.

What was the price associated with the SOFI shares used for tax withholding?

The tax-withholding transaction used a reference price of $17.279 per share for 14,414 shares of SoFi common stock associated with the RSU vesting tax obligation.

Did the RSUs cost the SOFI insider anything to exercise?

No cash exercise price is reported. Each RSU represents a contingent right to receive one share of SoFi common stock upon settlement for no consideration, according to the footnote.

Were these SOFI insider transactions under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked as affirming a plan, and the footnotes do not state that these transactions were made under a Rule 10b5-1 trading plan.

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

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Available on EDGAR 09/16/2026 - 07:44 PM Accepted by SEC EDGAR 09/16/2026 - 07:44 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^*

Lavet Robert S

(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)

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

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		36,057	A	(1)	124,257	D
Common Stock	09/15/2026		F		14,414	D	$17.279(2)	109,843	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			36,057	(3)	(3)	Common Stock	36,057	$0	36,058	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 February 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)