Form 4 for SOFI SoFi Technologies, Inc.
Accepted 2023-09-18 00:00:00 ET · period of report 2023-09-14 · accession 0001818874-23-000159 · 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 | 2023-09-18 | 2023-09-14 | SOFI | Noto Anthony | CEO, Dir | F - Tax | $8.80 | -377.5K | 7.20M | -5% | -$3.32M |
| D | 2023-09-18 | 2023-09-14 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | — | +730.9K | 7.57M | +11% | — |
| D | 2023-09-18 | 2023-09-14 | SOFI | Noto Anthony | CEO, Dir | M - OptEx | $0.00 | -730.9K | 5.99M | -11% | $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 | 2023-09-14 | F | D | 377,499 | $8.80 | 7,195,289 | 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 | 2023-09-14 | M | A | 730,874 | — | 7,572,788 | D | — | — | (F1) Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Unit | 2023-09-14 | M | D | 730,874 | $0.00 | 5,986,121 | D | — · — to — | 730,874 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. (F3) 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 June 2, 2021, October 22, 2021 and March 22, 2023. |