Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SoFi Technologies, Inc.SOFI · Entity 3232 | Director · Vice Chairman - Galileo | November 18, 2021 | November 19, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SoFi Technologies, Inc.
Report date November 18, 2021 · Filed November 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 42,645,574 |
Reported balance
After 2021-11-18 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-11-18 · Sale · Disposed 10,076,668 · Balance 42,645,574 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. |
Filing footnotes · ownership attribution and instrument terms
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 18, 2021 Filed Nov 19, 2021 16:36 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | SaleCommon Stock | 10,076,668 | $21.60 | $217,656,028.80 |
DisclosureSEC source: 0001104659-21-141924 · tm2133514-1_4seq1.xml · nonDerivative · entry 1 Wilkes Thomas Clayton · CIK 0001864754 · Director · Vice Chairman - Galileo 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 42,645,574 F1 · shares: 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 · ownership.nature: 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. Read SEC document |
| September 13, 2021 Filed Sep 15, 2021 16:43 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | SaleCommon Stock | 1,119,413 | $15.16 | $16,970,301.08 |
DisclosureSEC source: 0001104659-21-115952 · tm2127697-1_4.xml · nonDerivative · entry 1 Wilkes Thomas Clayton · CIK 0001864754 · Director · Vice Chairman - Galileo 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 52,802,242 F1 · price: The reported transactions were executed in multiple trades. The purchase price of $15.16 reported in Column 4 is the weighted average sale price for the 1,119,413 shares disposed of by the Reporting Person within a range of $15.00 to $15.27 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 disposed of at each separate price within the price range noted above. F2 · ownership.nature: Consists of (i) 49,353,832 shares held of record by Red Crow Capital, LLC and (ii) 3,448,410 shares held of record jointly by the reporting person and his wife, who have shared voting and dispositive power with respect to the shares. The reporting person serves as the Manager of Red Crow Capital, LLC. Read SEC document |
| May 28, 2021 Filed Jun 2, 2021 21:24 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantCommon Stock | 53,921,655 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-076008 · tm2118244-31_4.xml · nonDerivative · entry 1 Wilkes Thomas Clayton · CIK 0001864754 · Director · CEO - Galileo 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 53,921,655 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. F2 · ownership.nature: Consists of (i) 49,353,832 shares held of record by Red Crow Capital, LLC and (ii) 4,567,823 shares held of record jointly by the reporting person and his wife, who have shared voting and dispositive power with respect to the shares. The reporting person serves as the Manager of Red Crow Capital, LLC. The address of this entity is 1077 E Duffer Ln, North Salt Lake, UT 84054. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.