Richard Carleton - 30 Sep 2025 Form 4 Insider Report for SHF Holdings, Inc. (SHFS)

Reporting relationship: Director
Issuer ticker: SHFS
Reported as of: 30 Sep 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 08 May 2026, 21:56:28 UTC
Prior SEC filing: 28 Apr 2025
Source filing: View source filing
Reporting owner signature: /s/ Richard Carleton

Key filing fact

Richard Carleton filed Form 4 for SHF Holdings, Inc. (SHFS) on 08 May 2026.

Key facts

This page summarizes Richard Carleton's Form 4 filing for SHF Holdings, Inc. (SHFS).
4 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 08 May 2026, 21:56.

Change

Previous filing in this sequence was filed on 28 Apr 2025.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001935449 Primary reporting owner

Carleton Richard

Relationship: Director
Address: 689359 18TH SIDEROAD, CLARKSBURG, ONTARIO, CANADA
Signature: /s/ Richard Carleton
Signature date: 08 May 2026

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SHFS transaction Derivative

Series B Convertible Preferred Stock

Purchase

Transaction value
Shares: +13
Change %
Price: $800.00^*
Shares after: 13
Date: 30 Sep 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,674
Exercise price: $7.76
Footnotes: F1, F2, F3

SHFS transaction Derivative

Series B Warrant to Purchase Common Stock (Right to Buy)

Purchase

Transaction value
Shares: +837
Change %
Price: $0.000000^*
Shares after: 837
Date: 30 Sep 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 837
Exercise price: $7.76
Footnotes: F1, F2

SHFS transaction Derivative

Series B Convertible Preferred Stock

Other

Transaction value
Shares: -1
Change %: -7.7%
Price: $800.00^*
Shares after: 12
Date: 10 Dec 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,546
Exercise price: $7.76
Footnotes: F1, F3, F4

SHFS transaction Derivative

Series B Convertible Preferred Stock

Other

Transaction value
Shares: -1
Change %: -8.3%
Price: $800.00^*
Shares after: 11
Date: 31 Dec 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,418
Exercise price: $7.76
Footnotes: F1, F3, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

This transaction is being reported late due to an inadvertent administrative oversight.

Footnote F2

On September 30, 2025, the Reporting Person entered into a Securities Purchase Agreement with SHF Holdings, Inc. (the "Issuer"), pursuant to which the Issuer issued and sold to the Reporting Person 13 shares of the Issuer's Series B Convertible Preferred Stock (the "Series B Preferred Stock") and common stock purchase warrants (the "Series B Warrants") to initially acquire up to 837 shares of the Issuer's common stock on the same terms and conditions as the other participants in the transaction. The Reporting Person's acquisition of the Series B Preferred Stock and the Series B Warrant was subject to shareholder approval, which was obtained on November 6, 2025.

Footnote F3

The Series B Preferred Stock is perpetual and therefore has no expiration date.

Footnote F4

On December 10, 2025, the Issuer redeemed one share of the Reporting Person's Series B Preferred Stock in accordance with the terms of the Series B Preferred Stock's Certificate of Designation.

Footnote F5

On December 31, 2025, the Issuer redeemed one share of the Reporting Person's Series B Preferred Stock in accordance with the terms of the Series B Preferred Stock's Certificate of Designation.