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[Form 4] SoFi Technologies, Inc. Insider Trading Activity

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

Rhea-AI Filing Summary

SoFi Technologies CEO and Director Anthony Noto reported significant insider transactions on June 16, 2025. The transactions involved the following key activities:

  • Settlement of 576,851 Restricted Stock Units (RSUs) (559,717 + 17,134 shares)
  • 304,867 shares were withheld at $14.09 per share for tax obligations
  • Following these transactions, Noto directly owns 10,063,743 shares
  • Maintains additional 3,525,253 RSUs (2,514,404 + 1,010,849) that will vest in the future

These transactions were part of previously disclosed RSU grants from 2022-2025. The share withholding for tax purposes indicates a standard practice for executive compensation rather than an open market sale. This level of ownership demonstrates significant alignment between the CEO and shareholder interests.

Positive

  • None.

Negative

  • None.
Insider Noto Anthony
Role Chief Executive Officer
Type Security Shares Price Value
Exercise Restricted Stock Unit 559,717 $0.00 --
Exercise Restricted Stock Unit 17,134 $0.00 --
Exercise Common Stock 559,717 $0.00 --
Exercise Common Stock 17,134 $0.00 --
Tax Withholding Common Stock 304,867 $14.09 $4.30M
Holdings After Transaction: Restricted Stock Unit — 2,514,404 shares (Direct); Common Stock — 10,351,476 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 Form 4 filed on March 28, 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*
Noto Anthony
(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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
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 559,717 A (1) 10,351,476 D
Common Stock 06/16/2025 M 17,134 A (1) 10,368,610 D
Common Stock 06/16/2025 F 304,867 D $14.09(2) 10,063,743 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 559,717 (3) (3) Common Stock 559,717 $0 2,514,404 D
Restricted Stock Unit (1) 06/16/2025 M 17,134 (4) (4) Common Stock 17,134 $0 1,010,849 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 Form 4 filed on March 28, 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 CEO Anthony Noto acquire on June 16, 2025?

CEO Anthony Noto acquired a total of 576,851 shares through the settlement of RSUs on June 16, 2025 (559,717 + 17,134 shares). However, 304,867 shares were withheld for tax purposes, resulting in a net acquisition of 271,984 shares.

What is Anthony Noto's total SOFI stock ownership after the June 16, 2025 transactions?

Following the reported transactions, Anthony Noto directly owns 10,063,743 shares of SOFI common stock.

What was the price used for SOFI tax withholding shares in the June 2025 transaction?

The shares withheld for tax purposes were valued at $14.09 per share.

How many unvested SOFI RSUs does Anthony Noto still hold?

After the transactions, Anthony Noto still holds 3,525,253 unvested RSUs (2,514,404 + 1,010,849 RSUs) that will convert to common stock upon vesting.

What positions does Anthony Noto hold at SOFI as of June 2025?

Anthony Noto serves as both the Chief Executive Officer and a Director of SoFi Technologies, Inc.