Form 4 for HOOD Robinhood Markets
Accepted 2021-08-03 00:00:00 ET · period of report 2021-08-02 · accession 0001783879-21-000009 · 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 | Bhatt Baiju | Chief Creative Off, Dir | J - Other | — | 0 | 2.00M | New | — |
| DM | 2021-08-03 | 2021-08-02 | HOOD | Bhatt Baiju | Chief Creative Off, Dir | J - Other | — | 0 | 773.7K | New | — |
| DMI | 2021-08-03 | 2021-08-02 | HOOD | Bhatt Baiju | Chief Creative Off, Dir | D - Sale to Iss | — | -65.08M | 0 | -100% | — |
| DMI | 2021-08-03 | 2021-08-02 | HOOD | Bhatt Baiju | Chief Creative Off, Dir | A - Grant | — | +65.08M | 565.1K | New | — |
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 | J | D | 2,000,000 | — | 0 | I By 2021 GRAT | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 2 | Common | Common Stock | 2021-08-02 | J | D | 773,677 | — | 0 | D By Living Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 3 | Common | Class A Common Stock | 2021-08-02 | J | A | 773,677 | — | 773,677 | D By Living Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 4 | Common | Common Stock | 2021-08-02 | J | D | 60,791,600 | — | 0 | I By Living Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 5 | Common | Class A Common Stock | 2021-08-02 | J | A | 60,791,600 | — | 60,791,600 | I By Family Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 6 | Common | Class A Common Stock | 2021-08-02 | D | D | 60,791,600 | — | 0 | I By Family Trust | — | — | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. |
| 7 | Common | Common Stock | 2021-08-02 | J | D | 565,079 | — | 0 | I By Family Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 8 | Common | Class A Common Stock | 2021-08-02 | J | A | 565,079 | — | 565,079 | I By 2018 GRAT | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 9 | Common | Class A Common Stock | 2021-08-02 | D | D | 565,079 | — | 0 | I By 2018 GRAT | — | — | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. |
| 10 | Common | Common Stock | 2021-08-02 | J | D | 1,720,944 | — | 0 | I By 2018 GRAT | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 11 | Common | Class A Common Stock | 2021-08-02 | J | A | 1,720,944 | — | 1,720,944 | I By 2021 GRAT | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 12 | Common | Class A Common Stock | 2021-08-02 | D | D | 1,720,944 | — | 0 | I By 2021 GRAT | — | — | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. |
| 13 | Common | Class A Common Stock | 2021-08-02 | D | D | 2,000,000 | — | 0 | I | — | — | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. |
| 14 | Common | Class A Common Stock | 2021-08-02 | J | A | 2,000,000 | — | 2,000,000 | I | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock automatically converted into one share of Class A Common Stock upon the filing of the Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc. ("Robinhood") immediately prior to the closing of Robinhood's initial public offering. |
| 15 | Derivative | Class B Common Stock | 2021-08-02 | A | A | 60,791,600 | — | 60,791,600 | I By Living Trust | — · — to — | 60,791,600 Class A Common Stock | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. (F3) Shares of Class B Common Stock are convertible into Class A Common Stock on a one-for-one basis (a) at the holder's election, (b) upon certain transfers of such shares, or (c) in connection with the holder's death or disability in certain circumstances and, if not previously converted, will so convert at the earlier of (i) certain dates determined either by a vote of the holders of the shares of Class B Common Stock or by Robinhood's Board of Directors as described in Robinhood's Amended and Restated Certificate of Incorporation or (ii) August 2, 2036. |
| 16 | Derivative | Class B Common Stock | 2021-08-02 | A | A | 1,720,944 | — | 1,720,944 | I By 2018 GRAT | — · — to — | 1,720,944 Class A Common Stock | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. (F3) Shares of Class B Common Stock are convertible into Class A Common Stock on a one-for-one basis (a) at the holder's election, (b) upon certain transfers of such shares, or (c) in connection with the holder's death or disability in certain circumstances and, if not previously converted, will so convert at the earlier of (i) certain dates determined either by a vote of the holders of the shares of Class B Common Stock or by Robinhood's Board of Directors as described in Robinhood's Amended and Restated Certificate of Incorporation or (ii) August 2, 2036. |
| 17 | Derivative | Class B Common Stock | 2021-08-02 | A | A | 2,000,000 | — | 2,000,000 | I By 2021 GRAT | — · — to — | 2,000,000 Class A Common Stock | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. (F3) Shares of Class B Common Stock are convertible into Class A Common Stock on a one-for-one basis (a) at the holder's election, (b) upon certain transfers of such shares, or (c) in connection with the holder's death or disability in certain circumstances and, if not previously converted, will so convert at the earlier of (i) certain dates determined either by a vote of the holders of the shares of Class B Common Stock or by Robinhood's Board of Directors as described in Robinhood's Amended and Restated Certificate of Incorporation or (ii) August 2, 2036. |
| 18 | Derivative | Class B Common Stock | 2021-08-02 | A | A | 565,079 | — | 565,079 | I By Family Trust | — · — to — | 565,079 Class A Common Stock | (F2) Shares of Class A Common Stock were exchanged with Robinhood for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and Robinhood. (F3) Shares of Class B Common Stock are convertible into Class A Common Stock on a one-for-one basis (a) at the holder's election, (b) upon certain transfers of such shares, or (c) in connection with the holder's death or disability in certain circumstances and, if not previously converted, will so convert at the earlier of (i) certain dates determined either by a vote of the holders of the shares of Class B Common Stock or by Robinhood's Board of Directors as described in Robinhood's Amended and Restated Certificate of Incorporation or (ii) August 2, 2036. |