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SoFi Technologies (SOFI) CTO reports ESPP purchase, RSU settlement and tax share sale

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

SoFi Technologies, Inc. reported insider equity transactions by its Chief Technology Officer. On December 8, 2025, the officer acquired 1,042.972 shares of common stock at $11.985 per share through the 2024 Employee Stock Purchase Plan, bringing direct ownership to 761,828.972 shares.

On December 15, 2025, restricted stock units converted into common stock in two settlements of 271,751 and 4,792 shares, with no cash exercise price, increasing direct ownership to 1,038,371.972 shares. On December 16, 2025, 151,937 shares were sold at $26.258 solely to cover tax withholding on vested stock-settled RSUs, leaving the officer with 886,434.972 shares of common stock held directly.

Positive

  • None.

Negative

  • None.
Insider Rishel Jeremy
Role Chief Technology Officer
Type Security Shares Price Value
Tax Withholding Common Stock 151,937 $26.258 $3.99M
Exercise Restricted Stock Unit 271,751 $0.00 --
Exercise Restricted Stock Unit 4,792 $0.00 --
Exercise Common Stock 271,751 $0.00 --
Exercise Common Stock 4,792 $0.00 --
Grant/Award Common Stock 1,042.972 $11.985 $13K
Holdings After Transaction: Common Stock — 886,434.972 shares (Direct); Restricted Stock Unit — 808,450 shares (Direct)
Footnotes (1)
  1. Shares were acquired under the SoFi Technologies, Inc. 2024 Employee Stock Purchase Plan on December 8, 2025, in an exempt transaction pursuant to Rule 16(b)-3(d), paid for by contributions made during the six month period ended December 8, 2025. 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 Forms 4 filed on July 20, 2022 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 13, 2025.
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*
Rishel Jeremy
(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)
Chief Technology Officer
3. Date of Earliest Transaction (Month/Day/Year)
12/08/2025
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 12/08/2025 A 1,042.972 A(1) $11.985 761,828.972 D
Common Stock 12/15/2025 M 271,751 A (2) 1,033,579.972 D
Common Stock 12/15/2025 M 4,792 A (2) 1,038,371.972 D
Common Stock 12/16/2025 F 151,937 D $26.258(3) 886,434.972 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 (2) 12/15/2025 M 271,751 (4) (4) Common Stock 271,751 $0 808,450 D
Restricted Stock Unit (2) 12/15/2025 M 4,792 (5) (5) Common Stock 4,792 $0 273,110 D
Explanation of Responses:
1. Shares were acquired under the SoFi Technologies, Inc. 2024 Employee Stock Purchase Plan on December 8, 2025, in an exempt transaction pursuant to Rule 16(b)-3(d), paid for by contributions made during the six month period ended December 8, 2025.
2. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.
3. Shares sold to satisfy tax withholding obligation applicable to the vesting of stock-settled RSUs. These shares were not issued to the Reporting Person.
4. 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 July 20, 2022 and March 13, 2024.
5. 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 13, 2025.
Remarks:
/s/ Deanna M. Smith, Attorney-in-Fact 12/17/2025
** 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

What insider transactions did SoFi Technologies (SOFI) report in this filing?

The filing reports equity transactions by SoFi Technologies' Chief Technology Officer, including employee stock purchase plan acquisitions, RSU settlements into common stock, and a share sale to cover tax withholding on vested RSUs.

How many SoFi (SOFI) shares did the CTO acquire through the employee stock purchase plan?

On December 8, 2025, the CTO acquired 1,042.972 shares of SoFi common stock at $11.985 per share under the SoFi Technologies, Inc. 2024 Employee Stock Purchase Plan.

What restricted stock unit (RSU) activity was disclosed for SoFi (SOFI)?

On December 15, 2025, RSUs previously granted to the CTO settled into 271,751 and 4,792 shares of common stock, with each RSU representing a right to receive one share for no cash consideration.

How many SoFi (SOFI) shares were sold to cover tax withholding obligations?

On December 16, 2025, 151,937 shares of SoFi common stock were sold at $26.258 per share to satisfy tax withholding obligations related to the vesting of stock-settled RSUs.

What is the CTO's direct ownership in SoFi (SOFI) shares after these transactions?

Following the reported transactions, the Chief Technology Officer directly beneficially owns 886,434.972 shares of SoFi Technologies common stock.

Does this SoFi (SOFI) insider Form 4 involve any derivative securities?

Yes. The filing lists restricted stock units as derivative securities. On December 15, 2025, 271,751 and 4,792 RSUs settled into the same number of common shares at a conversion price of $0 per unit.