SCHWARTZ HARVEY M

SEC source: 0001566418-26-000010 · wk-form4_1787950938.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,273,362

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001566418-26-000008 · wk-form4_1780089031.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,254,122

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001566418-26-000006 · wk-form4_1771631354.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,233,379

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001566418-26-000004 · wk-form4_1771371205.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,215,922

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person.

SEC source: 0001566418-26-000002 · wk-form4_1770158239.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,350,734

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person.

SEC source: 0001566418-25-000009 · wk-form4_1766012136.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,929,596

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person.

SEC source: 0001566418-25-000007 · wk-form4_1763762694.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,240,292

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001527166-25-000114 · wk-form4_1756500874.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,211,773

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001527166-25-000081 · wk-form4_1748552984.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,188,889

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-25-030274 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,157,180

F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-25-021638 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,128,029

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person.

SEC source: 0000950170-25-014027 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,262,841

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person.

SEC source: 0000950170-24-137443 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,826,424

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person.

SEC source: 0000950170-24-131164 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,128,939

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-24-101471 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,092,384

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001818874-24-000129 · wk-form4_1716501964.xml · derivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,249 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

SEC source: 0001818874-24-000129 · wk-form4_1716501964.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,289

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0000950170-24-064056 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,042,876

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-24-053046 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,998,824

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person.

SEC source: 0000950170-24-026509 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,549,528

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-24-016593 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,499,397

F1 · kind: These securities are a restricted stock unit award that is eligible to vest in three equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($48.76, $56.88 and $65.01, respectively). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years and three years, respectively. The period for measuring the achievement of the stock price hurdles ends on February 14, 2027 and any restricted stock units that have not vested as of February 15, 2027 will be forfeited.

SEC source: 0000950170-23-071566 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,768,046

F2 · price: The price reported in column 4 is a weighted average price. These shares of common stock were sold in multiple transactions at prices ranging from $41.32 to $42.14, inclusive. The reporting person undertakes to provide to The Carlyle Group Inc., any security holder of The Carlyle Group Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock sold at each separate price within the range set forth in this footnote.

F1 · acquired: These shares of common stock were sold by the reporting person pursuant to a Rule 10b5-1 trading arrangement entered into by the reporting person on September 1, 2023 to satisfy tax obligations arising from the vesting of restricted stock units.

SEC source: 0000950170-23-067415 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,063,404

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-23-044658 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,992,508

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0001628280-23-029709 · wk-form4_1692230657.xml · derivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,249

Underlying: Common Stock · 26,249 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

F2 · derivative.exercise_date: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2023 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date.

F2 · derivative.expiration_date: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2023 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date.

SEC source: 0001818874-23-000121 · wf-form4_168695339542016.xml · derivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,974 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on August 17, 2022.

F2 · derivative.expiration_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on August 17, 2022.

SEC source: 0001818874-23-000121 · wf-form4_168695339542016.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,040

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0000950170-23-024305 · ownership.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,911,791

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000899243-23-007040 · doc4.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,826,068

F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000899243-23-005497 · doc4.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,762,219

F2 · acquired: These securities are a restricted stock unit award that is eligible to vest in five equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($42.74, $51.29, $58.12, $64.96, and $71.80, respectively) and the $64.96 and $71.80 tranches are also subject to performance-based vesting conditions relating to total shareholder return (linked to the 60th percentile of the constituent companies in the S&P 500 Financials Index). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years, three years, four years, and five years, respectively. The period for measuring the achievement of the stock price hurdles ends on January 31, 2028 and any restricted stock units that have not vested as of February 1, 2028 will be forfeited.

SEC source: 0000899243-23-005497 · doc4.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,031,602

F1 · acquired: These securities are a restricted stock unit award and will be eligible to vest as to 25% of such award on February 1 of each of 2024, 2025, 2026, and 2027, in each case, with settlement to occur in December of the prior year, subject to clawback if the service requirement is not met.

SEC source: 0001818874-22-000194 · wf-form4_166077783329037.xml · derivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,974

Underlying: Common Stock · 35,974 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

F2 · derivative.exercise_date: Reflects a grant of RSUs to Reporting Person, a director of Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2022 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date.

F2 · derivative.expiration_date: Reflects a grant of RSUs to Reporting Person, a director of Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2022 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date.

SEC source: 0001818874-22-000115 · wf-form4_165541600982493.xml · derivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,714 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021.

F2 · derivative.exercise_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021.

F2 · derivative.expiration_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021.

SEC source: 0001818874-22-000115 · wf-form4_165541600982493.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,066

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0001818874-22-000107 · wf-form4_165515404833089.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,352

F1 · price: The reported transactions were executed in multiple trades. The purchase price of $5.59 reported in Column 4 is the weighted average purchase price for the 53,500 shares acquired by the Reporting Person within a range of $5.50 to $5.73 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.

SEC source: 0001104659-22-061840 · tm2215836-1_4.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,852

SEC source: 0001104659-22-035546 · tm229732-7_4seq1.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,852

F1 · price: The reported transactions were executed in multiple trades. The purchase price of $8.8376 reported in Column 4 is the weighted average purchase price for the 58,000 shares acquired by the Reporting Person within a range of $8.70 to $8.94 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.

SEC source: 0001104659-21-113091 · tm2126991-12_4seq1.xml · derivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,714

Underlying: Common Stock · 15,714 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.

F2 · derivative.exercise_date: 100% of the RSU award will vest on the earlier of June 14, 2022 and the date of the Issuer's 2022 annual shareholder meeting, subject to the Reporting Person's continued service with the Issuer.

F2 · derivative.expiration_date: 100% of the RSU award will vest on the earlier of June 14, 2022 and the date of the Issuer's 2022 annual shareholder meeting, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001104659-21-076004 · tm2118244-25_4seq1.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,852

F1 · price: 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.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · derivative · entry 4

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 27,481 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,690

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,028

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000685 · ownershipdoc10182017030515.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,547

F1 · price: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · derivative · entry 4

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 54,358 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,547

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,614

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000076 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,256

F1 · price: Reflects a weighted average sale price of $233.9887 per share, at prices ranging from $233.65 to $234.53 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · derivative · entry 4

SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 77,211 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.

F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.

F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.

F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.

SEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,256

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,543

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.