Noto Anthony's Form 4 filing
SoFi Technologies, Inc. (SOFI) · filed Sep 16, 2026
- Accession no.
- 0001613438-26-000022
- Filed
- Sep 16, 2026, 7:43 PM ET
- Trade date
- Sep 14, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 3 derivative transactions. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Noto AnthonyCIK 0001613438 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2026 | Common Stock | MOption exerciseAcquired | +136,166 | –F1 | – | 12,255,208 | Direct | |
| Sep 14, 2026 | Common Stock | MOption exerciseAcquired | +154,197 | –F1 | – | 12,409,405 | Direct | |
| Sep 14, 2026 | Common Stock | MOption exerciseAcquired | +55,191 | –F1 | – | 12,464,596 | Direct | |
| Sep 14, 2026 | Common Stock | FTax withholdingDisposed | −188,259 | $17.32F2 | −$3,260,645.88 | 12,276,337 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2026 | Common Stock | MOption exerciseDisposed | −136,166 | $0.00 | $0 | 816,992 | Direct | |
| Sep 14, 2026 | Common Stock | MOption exerciseDisposed | −154,197 | $0.00 | $0 | 513,990 | Direct | |
| Sep 14, 2026 | Common Stock | MOption exerciseDisposed | −55,191 | $0.00 | $0 | 772,668 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.
Referenced by the price of 3 transactions in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.