Noto Anthony's Form 4 filing

SoFi Technologies, Inc. (SOFI) · filed Dec 19, 2022

Accession no.: 0001818874-22-000270
Filed: Dec 19, 2022
Trade date: Dec 15-16, 2022
Filing delay: 4 days
Rule 10b5-1 plan: Not on the form (before 2023)

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market purchases total $2.41M. It was filed 4 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.

Reporting owners on this filing
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.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Dec 15, 2022	Common Stock	PPurchaseAcquired	+225,000	$4.59^F1	+$1,032,750	5,358,612	Direct
Dec 16, 2022	Common Stock	PPurchaseAcquired	+300,000	$4.59^F2	+$1,377,000	5,658,612	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.

The reported transactions were executed in multiple trades. The purchase price of $4.5921 reported in Column 4 is the weighted average purchase price for the 225,000 shares acquired by the Reporting Person within a range of $4.535 to $4.690 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.

Referenced by the price of 1 transaction in Table I.

The reported transactions were executed in multiple trades. The purchase price of $4.5934 reported in Column 4 is the weighted average purchase price for the 300,000 shares acquired by the Reporting Person within a range of $4.500 to $4.630 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.

Referenced by the price of 1 transaction in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)