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SoFi Executive Maintains Strong Position Despite Required Share Sale for Taxes

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

Rhea-AI Filing Summary

SoFi Technologies (SOFI) CFO and PAO Christopher Lapointe reported multiple transactions on June 16, 2025, involving the vesting and settlement of Restricted Stock Units (RSUs):

  • Acquired 135,247 shares through RSU settlement from grants disclosed in 2022-2024
  • Acquired additional 6,098 shares from RSU grant disclosed in March 2025
  • Disposed of 74,703 shares at $14.09 per share to satisfy tax withholding obligations

Following these transactions, Lapointe directly owns 1,439,218 shares of common stock. Additionally, he maintains 813,437 and 359,794 unvested RSUs from previous grants. These transactions were executed under standard RSU vesting terms, with shares withheld for tax purposes rather than being sold on the open market.

Positive

  • None.

Negative

  • None.
Insider Lapointe Christopher
Role CFO and PAO
Type Security Shares Price Value
Exercise Restricted Stock Unit 135,247 $0.00 --
Exercise Restricted Stock Unit 6,098 $0.00 --
Exercise Common Stock 135,247 $0.00 --
Exercise Common Stock 6,098 $0.00 --
Tax Withholding Common Stock 74,703 $14.09 $1.05M
Holdings After Transaction: Restricted Stock Unit — 813,437 shares (Direct); Common Stock — 1,507,823 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 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 25, 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*
Lapointe Christopher
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
CFO and PAO
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 M 135,247 A (1) 1,507,823 D
Common Stock 06/16/2025 M 6,098 A (1) 1,513,921 D
Common Stock 06/16/2025 F 74,703 D $14.09(2) 1,439,218 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 135,247 (3) (3) Common Stock 135,247 $0 813,437 D
Restricted Stock Unit (1) 06/16/2025 M 6,098 (4) (4) Common Stock 6,098 $0 359,794 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 25, 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 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 CFO Christopher Lapointe acquire on June 16, 2025?

CFO Christopher Lapointe acquired a total of 141,345 shares through the settlement of RSUs (135,247 + 6,098 shares) on June 16, 2025. However, 74,703 shares were withheld for tax purposes, resulting in a net acquisition of 66,642 shares.

What is the current stock price of SOFI according to the Form 4 filing?

According to the Form 4 filing, the shares withheld for tax purposes were valued at $14.09 per share, which indicates SOFI's stock price at the time of the transaction.

How many SOFI shares does CFO Christopher Lapointe own after the June 16, 2025 transactions?

After the reported transactions, CFO Christopher Lapointe directly owns 1,439,218 shares of SOFI common stock. He also holds additional unvested RSUs representing 813,437 and 359,794 shares that will vest in the future.

What type of insider transaction did SOFI's CFO execute in June 2025?

SOFI's CFO Christopher Lapointe received shares from the settlement of previously granted Restricted Stock Units (RSUs). The transaction involved the vesting of RSUs granted between 2022 and 2025, with a portion of shares withheld for tax withholding obligations.

How many unvested RSUs does SOFI's CFO still hold after this transaction?

Following the reported transactions, SOFI's CFO Christopher Lapointe still holds two sets of unvested RSUs: 813,437 RSUs from grants disclosed between 2022-2024, and 359,794 RSUs from a grant disclosed in March 2025, totaling 1,173,231 unvested RSUs.