SEC FORM 4

SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

HUTTON GEORGE THOMPSON

(Last)

(First)

(Middle)

C/O SOFI TECHNOLOGIES, INC.

234 1ST STREET

(Street)

SAN FRANCISCO

94105

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
SoFi Technologies, Inc. [ SOFI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
05/28/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	05/28/2021		A		258,702	A	⁽¹⁾	258,702	D
Common Stock	05/28/2021		A		210,589	A	⁽¹⁾	210,589	I	See footnote⁽²⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Options (right to buy)	$0.02	05/28/2021		A		348,560		⁽³⁾	02/28/2022	Common Stock	348,560	⁽⁴⁾	348,560	D
Stock Options (right to buy)	$2.78	05/28/2021		A		174,280		⁽⁵⁾	12/30/2026	Common Stock	174,280	⁽⁶⁾	174,280	D
Stock Options (right to buy)	$6.95	05/28/2021		A		37,081		⁽⁷⁾	06/29/2030	Common Stock	37,081	⁽⁸⁾	37,081	D
Restricted Stock Unit	⁽⁹⁾	05/28/2021		A		31,122		⁽¹⁰⁾	⁽¹⁰⁾	Common Stock	31,122	$0.00	31,122	D
Restricted Stock Unit	⁽¹¹⁾	05/28/2021		A		11,669		⁽¹²⁾	⁽¹²⁾	Common Stock	11,669	$0.00	11,669	D

Explanation of Responses:

1. Received in connection with the Issuer's business combination (the "Business Combination") with Social Finance, Inc. ("Legacy SoFi") in accordance with the terms of the Agreement and Plan of Merger, dated as of January 7, 2021, as amended on March 16, 2021, by and among the Issuer (f/k/a Social Capital Hedosophia Holdings Corp. V), Plutus Merger Sub Inc. ("Merger Sub") and Legacy SoFi (the "Merger Agreement"), pursuant to which Merger Sub merged with and into Legacy SoFi, with Legacy SoFi surviving the merger as a wholly-owned subsidiary of the Issuer.

2. The reporting person is the sole beneficiary and trustee of Hutton Living Trust, 12/10/96, which directly holds 210,589 shares of common stock.

3. 100% of the option has fully vested and is immediately exercisable.

4. Received in connection with the Business Combination in exchange for options to acquire 200,000 shares of common stock of Legacy SoFi for $0.0275 per share.

5. 100% of the option has fully vested and is immediately exercisable

6. Received in connection with the Business Combination in exchange for options to acquire 100,000 shares of common stock of Legacy SoFi for $4.84 per share.

7. 100% of the option will fully vest on June 29, 2021.

8. Received in connection with the Business Combination in exchange for options to acquire 21,277 shares of common stock of Legacy SoFi for $12.11 per share.

9. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

10. Subject to the reporting person's continued service with the Issuer, 100% of the RSU award will fully vest on June 29, 2022.

11. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

12. 100% of the RSU award will fully vest on June 29, 2021.

	/s/ Deanna Smith, Attorney-in-Fact	06/02/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

SEC Form 4: HUTTON GEORGE THOMPSON was granted 469,291 units of Common Stock