Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-21-113095
Date:2021-09-01
Issuer: SOFI TECHNOLOGIES, INC. (SOFI)
Original Submission Date:

Reporting Person:

WHITE DEREK J
C/O SOFI TECHNOLOGIES, INC.
234 1ST STREET SAN FRANCISCO, CA 94105

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PERFORMANCE STOCK UNIT 0.0 2021-09-01 deemed execution date A 750,000 (a) common stock 750,000 $0.00 750,000 direct
RESTRICTED STOCK UNIT 0.0 2021-09-02 deemed execution date A 1,296,177 (a) common stock 1,296,177 $0.00 1,296,177 direct
Footnotes
IDfootnote
f1 each performance stock unit ("psu") represents a contingent right to receive one share of the issuer's common stock upon settlement for no consideration.
f2 represents shares issuable on settlement of psus granted to the reporting person. the psus vest subject to the achievement of certain performance conditions involving the issuer's stock price, subject to the reporting person's continued service with the issuer through the applicable vesting date.
f3 each restricted stock unit ("rsu") represents a contingent right to receive one share of the issuer's common stock upon settlement for no consideration.
f4 the rsu award will vest as to 324,045 rsus on the first quarterly vesting date and will then vest as to 69,438 rsus per quarter in equal quarterly installments, subject to the reporting person's continued service with the issuer through the applicable vesting date, with the first installment representing 1/4th of the total number of rsus granted pursuant to this award and each installment other than the first installment representing 1/14th of the remaining 3/4th of rsus granted pursuant to this award.

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