Form 4 for SOFI SoFi Technologies, Inc.
Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001104659-21-113100 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-09-03 | 2021-09-02 | SOFI | Noto Anthony | CEO, Dir | F - Tax | $14.18 | -50.4K | 2.48M | -2% | -$714.7K |
| D | 2021-09-03 | 2021-09-02 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | — | +101.7K | 2.53M | +4% | — |
| D | 2021-09-03 | 2021-09-01 | SOFI | Noto Anthony | CEO, Dir | A - Grant | $0.00 | +6.43M | 6.43M | New | $0 |
| D | 2021-09-03 | 2021-09-02 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | $0.00 | -101.7K | 7.03M | -1% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-02 | F | D | 50,405 | $14.18 | 2,484,410 | D | — | — | (F2) 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. |
| 2 | Common | Common Stock | 2021-09-02 | M | A | 101,663 | — | 2,534,815 | D | — | — | (F1) Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. |
| 3 | Derivative | Performance Stock Unit | 2021-09-01 | A | A | 6,428,578 | $0.00 | 6,428,578 | D | — · — to — | 6,428,578 Common Stock | (F4) Each performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. (F5) Represents shares issuable on settlement of performance stock units ("PSUs") granted to the Reporting Person. Each PSU represents a contingent right to receive one share of Issuer's Common Stock. The PSUs vest subject to the achievement of certain performance conditions involving the Issuer's stock price, subject to Reporting Person's continued service with the Issuer through each such vesting date. |
| 4 | Derivative | Restricted Stock Unit | 2021-09-02 | M | D | 101,663 | $0.00 | 7,027,333 | D | — · — to — | 101,663 Common Stock | (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 June 2, 2021. |