Form 4 for HOOD Robinhood Markets
Accepted 2021-08-03 00:00:00 ET · period of report 2021-08-02 · accession 0000899243-21-031313 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | C - Cnv Deriv | $26.60 | +11.43M | 10.30M | New | +$304.07M |
| DMI | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | J - Other | — | 0 | 1.06M | New | — |
| DM | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | J - Other | — | 0 | 70.02M | New | — |
| D | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | C - Cnv Deriv | — | +67.47M | 70.02M | +2,643% | — |
| DMI | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | C - Cnv Deriv | $0.00 | -9.50M | 0 | -100% | $0 |
| DM | 2021-08-03 | 2021-08-02 | HOOD | Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP | Dir, 10% | C - Cnv Deriv | $0.00 | -67.47M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-02 | C | A | 980,240 | — | 1,061,020 | I By Index Ventures Growth III (Jersey) L.P. | — | — | (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. (F2) The securities are held by Index Ventures Growth III (Jersey) L.P. ("Index Growth III"). Index Venture Growth Associates III Limited ("IVGA III") is the managing general partner of Index Growth III and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 2 | Common | Common Stock | 2021-08-02 | J | D | 10,296,520 | — | 0 | I By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F4) The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 3 | Common | Common Stock | 2021-08-02 | J | D | 70,022,080 | — | 0 | D By Yucca (Jersey) SLP | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F3) The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. |
| 4 | Common | Common Stock | 2021-08-02 | J | D | 1,413,380 | — | 0 | I By Index Ventures Growth III (Jersey) L.P. | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F2) The securities are held by Index Ventures Growth III (Jersey) L.P. ("Index Growth III"). Index Venture Growth Associates III Limited ("IVGA III") is the managing general partner of Index Growth III and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 5 | Common | Common Stock | 2021-08-02 | J | D | 1,061,020 | — | 0 | I By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F4) The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 6 | Common | Class A Common Stock | 2021-08-02 | J | A | 10,296,520 | — | 10,296,520 | I By Yucca (Jersey) SLP | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. |
| 7 | Common | Class A Common Stock | 2021-08-02 | J | A | 70,022,080 | — | 70,022,080 | D By Yucca (Jersey) SLP | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F3) The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. |
| 8 | Common | Class A Common Stock | 2021-08-02 | J | A | 1,413,380 | — | 1,413,380 | I By Index Ventures Growth V (Jersey) L.P. | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). (F7) The securities are held by Index Ventures Growth V (Jersey), L.P. ("Index Growth V"). Index Venture Growth Associates V Limited ("IVGA V") is the managing general partner of Index Growth V and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 9 | Common | Class A Common Stock | 2021-08-02 | J | A | 1,061,020 | — | 1,061,020 | I | — | — | (F6) Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). |
| 10 | Common | Class A Common Stock | 2021-08-02 | C | A | 57,984 | $26.60 | 1,119,004 | I | — | — | |
| 11 | Common | Class A Common Stock | 2021-08-02 | C | A | 1,874,816 | $26.60 | 1,874,816 | I | — | — | |
| 12 | Common | Common Stock | 2021-08-02 | C | A | 1,361,860 | — | 1,413,380 | I By Yucca (Jersey) SLP | — | — | (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. |
| 13 | Common | Common Stock | 2021-08-02 | C | A | 67,469,440 | — | 70,022,080 | D By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | — | — | (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. (F3) The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. (F4) The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 14 | Common | Common Stock | 2021-08-02 | C | A | 7,156,340 | — | 10,296,520 | I By Index Ventures Growth III (Jersey) L.P. | — | — | (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. (F2) The securities are held by Index Ventures Growth III (Jersey) L.P. ("Index Growth III"). Index Venture Growth Associates III Limited ("IVGA III") is the managing general partner of Index Growth III and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| 15 | Derivative | Series A Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 720,560 | $0.00 | 0 | I By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | — · — to — | 720,560 Common Stock | (F4) The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 16 | Derivative | Series A Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 1,126,280 | $0.00 | 0 | I By Yucca (Jersey) SLP | — · — to — | 1,126,280 Common Stock | (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 17 | Derivative | Series A Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 55,798,140 | $0.00 | 0 | D By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | — · — to — | 55,798,140 Common Stock | (F3) The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. (F4) The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 18 | Derivative | Series B Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 11,671,300 | $0.00 | 0 | D By Yucca (Jersey) SLP | — · — to — | 11,671,300 Common Stock | (F3) The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 19 | Derivative | Series B Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 235,580 | $0.00 | 0 | I By Index Ventures Growth III (Jersey) L.P. | — · — to — | 235,580 Common Stock | (F2) The securities are held by Index Ventures Growth III (Jersey) L.P. ("Index Growth III"). Index Venture Growth Associates III Limited ("IVGA III") is the managing general partner of Index Growth III and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 20 | Derivative | Series B Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 150,720 | $0.00 | 0 | I By Yucca (Jersey) SLP | — · — to — | 150,720 Common Stock | (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 21 | Derivative | Series C Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 7,156,340 | $0.00 | 0 | I By Yucca (Jersey) SLP | — · — to — | 7,156,340 Common Stock | (F5) The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| 22 | Derivative | Tranche I Convertible Promissory Note | 2021-08-02 | C | D | — | $0.00 | 0 | I | $26.60 · — to — | 57,984 Class A Common Stock | (F8) Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Tranche I Convertible Promissory Note ("Convertible Note") (together with accrued interest thereon) automatically converted into Class A Common Stock at a conversion price equal to $26.60. The Convertible Note did not have a maturity date. The treatment of the Convertible Note in the IPO was exempt pursuant to Rule 16b-6 and Rule 16b-3. |
| 23 | Derivative | Tranche I Convertible Promissory Note | 2021-08-02 | C | D | — | $0.00 | 0 | I | $26.60 · — to — | 1,874,816 Class A Common Stock | (F8) Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Tranche I Convertible Promissory Note ("Convertible Note") (together with accrued interest thereon) automatically converted into Class A Common Stock at a conversion price equal to $26.60. The Convertible Note did not have a maturity date. The treatment of the Convertible Note in the IPO was exempt pursuant to Rule 16b-6 and Rule 16b-3. |
| 24 | Derivative | Series C Redeemable Convertible Preferred Stock | 2021-08-02 | C | D | 108,960 | $0.00 | 0 | I By Index Ventures Growth V (Jersey) L.P. | — · — to — | 108,960 Common Stock | (F7) The securities are held by Index Ventures Growth V (Jersey), L.P. ("Index Growth V"). Index Venture Growth Associates V Limited ("IVGA V") is the managing general partner of Index Growth V and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. (F1) The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |