Thomas Clayton Wilkes - Nov 18, 2021 Form 4 Insider Report for SoFi Technologies, Inc. (SOFI)

Role: Vice Chairman - Galileo, Director
Signature: /s/ Deanna Smith, Attorney-in- Fact
Stock symbol: SOFI
Transactions as of: Nov 18, 2021
Transactions value $: -$217,656,029
Form type: 4
Date filed: 11/19/2021, 03:36 PM
Previous filing: Sep 15, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SOFI	Common Stock	Sale	-$218M	-10.1M	-19.11%	$21.60	42.6M	Nov 18, 2021	See Footnote	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents shares sold in connection with a registered offering and sale of the Issuer's common stock pursuant to a prospectus supplement, dated November 15, 2021, to the prospectus dated June 24, 2021 (File No. 333-257092).
F2	Consists of (i) 35,277,090 shares held of record by Red Crow Capital, LLC, (ii) 800,661 shares held by the reporting person, (iii) 67,823 shares held of record jointly by the reporting person and his wife, who have shared voting and dispositive power with respect to the shares, (iv) 4,000,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 1, (v) 2,000,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 2, and (v) 500,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 3. The reporting person serves as the Manager of Red Crow Capital, LLC and is the sole grantor, trustee and current beneficiary of each of the 2021 Wilkes Grantor Retained Annuity Trust No. 1, 2021 Wilkes Grantor Retained Annuity Trust No. 2, and 2021 Wilkes Grantor Retained Annuity Trust No. 3.

Content

Represents shares sold in connection with a registered offering and sale of the Issuer's common stock pursuant to a prospectus supplement, dated November 15, 2021, to the prospectus dated June 24, 2021 (File No. 333-257092).

Consists of (i) 35,277,090 shares held of record by Red Crow Capital, LLC, (ii) 800,661 shares held by the reporting person, (iii) 67,823 shares held of record jointly by the reporting person and his wife, who have shared voting and dispositive power with respect to the shares, (iv) 4,000,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 1, (v) 2,000,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 2, and (v) 500,000 shares held of record by the 2021 Wilkes Grantor Retained Annuity Trust No. 3. The reporting person serves as the Manager of Red Crow Capital, LLC and is the sole grantor, trustee and current beneficiary of each of the 2021 Wilkes Grantor Retained Annuity Trust No. 1, 2021 Wilkes Grantor Retained Annuity Trust No. 2, and 2021 Wilkes Grantor Retained Annuity Trust No. 3.