SoFi Technologies, Inc.
For the period ended Sep 30, 2026. Filed Nov 5, 2026.
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Sep 30, 2026 · Filed Nov 5, 2026
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Item 5. Other Information
Trading Arrangements
On August 1, 2026, Kelli Keough, Group Business Unit Leader, Spend Invest Protect and Save, adopted a trading arrangement during an open trading window for the sale of the Company’s common stock that is intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c) (a “Rule 10b5-1 Trading Plan”). Dr. Keough’s Rule 10b5-1 Trading Plan, which has a term ending on November 30, 2027, provides for the sale of up to 173,096 shares of common stock, representing the gross number of shares subject to the Rule 10b5-1 Trading Plan excluding the potential effect of shares withheld for taxes, pursuant to one or more market or limit orders. The actual number of shares that may be sold will be calculated as RSU vesting and satisfaction of tax withholding obligations occur.
During the three months ended September 30, 2026, no other Company director or officer (as defined in Rule 16a-1(f) of the Exchange Act)adopted, terminated or modified a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation S-K).
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