SoFi CRO RSUs vest into 21,174 shares of stock
SoFi’s chief risk officer reported RSU vesting into common shares and share withholding to cover associated tax obligations, with no open-market trading.
Rhea-AI Filing Summary
SoFi Technologies, Inc. (SOFI) reported that Chief Risk Officer Arun Pinto had restricted stock units (RSUs) settle into a total of 21,174 shares of common stock on September 14, 2026, through the exercise or conversion of RSUs. In connection with this vesting, 11,838 shares of common stock were delivered or withheld on September 15, 2026 to satisfy a tax withholding obligation at an indicated value of $17.279 per share; the related footnote states these shares were not issued to the reporting person. The filing does not report any open-market purchases or sales and indicates no Rule 10b5-1 trading plan.
Positive
- None.
Negative
- None.
Insider Trade Summary
21,174 shares exercised/converted
Exercise
5 txns
Insider
Pinto Arun
Role
Chief Risk Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Tax Withholding | Common Stock F2 | 11,838 | $17.279 | $205K |
| Exercise | Restricted Stock Unit F1, F3 | 11,434 | $0.00 | $0.00 |
| Exercise | Restricted Stock Unit F1, F4 | 9,740 | $0.00 | $0.00 |
| Exercise | Common Stock F1 | 11,434 | -- | -- |
| Exercise | Common Stock F1 | 9,740 | -- | -- |
Holdings After Transaction:
Restricted Stock Unit — 250,696 contracts (Direct);
Common Stock — 228,623 shares (Direct)
Footnotes (4)
- 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.
- 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.
- 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 12, 2025.
- F4. 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 into common stock: 21,174 shares
RSU settlement block 1: 11,434 shares
RSU settlement block 2: 9,740 shares
+2 more
5 metrics
RSUs settled into common stock
21,174 shares
Total RSUs converting into SoFi common stock on September 14, 2026
RSU settlement block 1
11,434 shares
Restricted Stock Units converting into common stock on September 14, 2026
RSU settlement block 2
9,740 shares
Restricted Stock Units converting into common stock on September 14, 2026
Shares for tax withholding
11,838 shares
Shares delivered or withheld on September 15, 2026 for tax obligations
Tax withholding price
$17.279 per share
Value used for shares delivered or withheld to satisfy tax withholding
Key Terms
Restricted Stock Unit, tax withholding obligation, Form 4, derivative security
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.
tax withholding obligation financial
"Shares sold to satisfy tax withholding obligation applicable to the vesting"
Form 4 regulatory
"granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
derivative security financial
"Exercise or conversion of derivative security"
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transactions did SOFI’s Chief Risk Officer report on this Form 4?
The Chief Risk Officer, Arun Pinto, reported RSUs settling into 21,174 shares of SoFi common stock on September 14, 2026, and a separate transaction on September 15, 2026 in which 11,838 shares were delivered or withheld to satisfy a tax withholding obligation.
How many SoFi (SOFI) RSUs vested or settled in this filing?
Two RSU blocks settled into common stock: one for 11,434 shares and another for 9,740 shares, totaling 21,174 shares of SoFi common stock, each RSU representing the right to receive one share upon settlement for no consideration.
Was a Rule 10b5-1 trading plan involved in these SOFI insider transactions?
No. The filing’s Rule 10b5-1 checkbox is marked in a way that indicates no Rule 10b5-1 trading plan covered these RSU settlements or the related tax-withholding share disposition reported for the Chief Risk Officer.
What do the footnotes say about the RSUs reported for SOFI’s Chief Risk Officer?
The footnotes state each RSU is a contingent right to receive one share of common stock for no consideration and clarify that the 11,838 shares in the tax-withholding transaction were used to satisfy tax obligations and were not issued to the reporting person.
AI-generated analysis. How Rhea-AI works. Not financial advice.
