Form 4 for SOFI SoFi Technologies, Inc.
Accepted 2022-03-17 00:00:00 ET · period of report 2022-03-15 · accession 0001104659-22-035130 · 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 | 2022-03-17 | 2022-03-15 | SOFI | Noto Anthony | CEO, Dir | F - Tax | $8.55 | -49.0K | 3.03M | -2% | -$418.9K |
| D | 2022-03-17 | 2022-03-15 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | — | +94.9K | 3.08M | +3% | — |
| D | 2022-03-17 | 2022-03-17 | SOFI | Noto Anthony | CEO, Dir | P - Purchase | $8.91 | +34.0K | 3.06M | +1% | +$302.9K |
| D | 2022-03-17 | 2022-03-15 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | $0.00 | -94.9K | 6.46M | -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 | 2022-03-15 | F | D | 48,993 | $8.55 | 3,028,031 | 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 | 2022-03-15 | M | A | 94,854 | — | 3,077,024 | D | — | — | (F1) Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. |
| 3 | Common | Common Stock | 2022-03-17 | P | A | 34,000 | $8.91 | 3,062,031 | D | — | — | (F3) The reported transactions were executed in multiple trades. The purchase price of $8.9120 reported in Column 4 is the weighted average purchase price for the 34,000 shares acquired by the Reporting Person within a range of $8.895 to $8.920 per share. The Reporting Person hereby undertakes to provide to the Staff of the SEC, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares acquired at each separate price within the price range noted above. |
| 4 | Derivative | Restricted Stock Unit | 2022-03-15 | M | D | 94,854 | $0.00 | 6,463,698 | D | — · — to — | 94,854 Common Stock | (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. (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 June 2, 2021. |