Filing Details
- Accession Number:
- 0001818874-23-000135
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-16 18:13:52
- Reporting Period:
- 2023-06-14
- Accepted Time:
- 2023-06-16 18:13:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1818874 | Sofi Technologies Inc. | SOFI | Finance Services (6199) | 981547291 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1862209 | Aaron Webster | C/O Sofi Technologies, Inc. 1000 Palm Blvd #605 Isle Of Palms SC 29451-0605 | Chief Risk Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-06-14 | 194,986 | $0.00 | 878,261 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-06-14 | 200,000 | $9.69 | 678,261 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-06-15 | 94,586 | $9.12 | 583,675 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2023-06-14 | 194,986 | $0.00 | 194,986 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,448,047 | No | 4 | M | Direct |
Footnotes
- Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.
- The reported transactions were executed in multiple trades. The sale price of $9.6906 reported in Column 4 is the weighted average sale price for the 200,000 shares disposed of by the Reporting Person within a range of $9.36 to $9.92 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 disposed of at each separate price within the price range noted above.
- 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 June 2, 2021, March 25, 2022, July 20, 2022 and March 22, 2023.
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