Form 4 for HOOD Robinhood Markets
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0001783879-21-000094 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-12-03 | 2021-12-01 | HOOD | Howard Gretchen | COO | M - OptEx | — | +46.8K | 305.5K | +18% | — |
| D | 2021-12-03 | 2021-12-01 | HOOD | Howard Gretchen | COO | F - Tax | $23.93 | -23.2K | 282.3K | -8% | -$555.4K |
| DM | 2021-12-03 | 2021-12-01 | HOOD | Howard Gretchen | COO | M - OptEx | $0.00 | -46.8K | 243.1K | -16% | $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 | Class A Common Stock | 2021-12-01 | M | A | 46,811 | — | 305,496 | D | — | — | (F1) Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis upon vesting and settlement. |
| 2 | Common | Class A Common Stock | 2021-12-01 | F | D | 23,210 | $23.93 | 282,286 | D | — | — | (F2) Represents shares withheld by Robinhood Markets, Inc. ("Robinhood") to satisfy tax withholding obligations in connection with the vesting and settlement of 46,811 RSUs and does not represent a sale by the Reporting Person. |
| 3 | Derivative | Restricted Stock Units | 2021-12-01 | M | D | 16,429 | $0.00 | 106,785 | D | — · — to 2026-02-14 | 16,429 Class A Common Stock | (F1) Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis upon vesting and settlement. (F3) On February 15, 2019, the Reporting Person was granted 394,283 RSUs under Robinhood's Amended and Restated 2013 Stock Plan (the "2013 Plan"), which award was amended and restated on January 13, 2020. One-fourth (1/4) of these RSUs were scheduled to vest on January 1, 2020, with the remainder scheduled to vest in thirty-six (36) equal monthly installments thereafter, in each case subject to the Reporting Person's continued service with Robinhood through the applicable vesting date and subject to accelerated vesting in certain circumstances. |
| 4 | Derivative | Restricted Stock Units | 2021-12-01 | M | D | 30,382 | $0.00 | 243,051 | D | — · — to 2027-01-12 | 30,382 Class A Common Stock | (F1) Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis upon vesting and settlement. (F5) On January 13, 2020, the Reporting Person was granted 486,102 RSUs under the 2013 Plan. One-fourth (1/4) of these RSUs were scheduled to vest on December 1, 2020, with the remainder scheduled to vest in twelve (12) equal quarterly installments thereafter, in each case subject to the Reporting Person's continued service with Robinhood through the applicable vesting date and subject to accelerated vesting in certain circumstances. |