Form 4 for HOOD Robinhood Markets
Accepted 2024-05-14 00:00:00 ET · period of report 2024-05-10 · accession 0001783879-24-000149 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2024-05-14 | 2024-05-10 | HOOD | Bhatt Baiju | Dir | S - Sale | $16.63 | -153.2K | 0 | -100% | -$2.55M |
| DI | 2024-05-14 | 2024-05-10 | HOOD | Bhatt Baiju | Dir | C - Cnv Deriv | — | +117.1K | 153.2K | +325% | — |
| DI | 2024-05-14 | 2024-05-10 | HOOD | Bhatt Baiju | Dir | C - Cnv Deriv | $0.00 | -117.1K | 58.15M | -0.2% | $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 | 2024-05-10 | S | D | 153,180 | $16.63 | 0 | I By Living Trust | — | — | (F4) This transaction was executed in multiple trades during the day at prices ranging from $16.22 to $17.63. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the trades were made. |
| 2 | Common | Class A Common Stock | 2024-05-10 | C | A | 117,135 | — | 153,180 | I By Living Trust | — | — | (F1) As part of the transaction effected on May 10, 2024 pursuant to the Rule 10b5-1 trading plan adopted by the Living Trust on September 13, 2023 ("Bhatt 10b5-1 plan"), the Living Trust sold 117,135 shares of it's Class B Common Stock, resulting in an automatic conversion of the shares into Class A Common Stock upon execution of the sale. (F2) Reflects the prior transfer of 36,045 shares of Class A Common Stock from the Reporting Person to the Living Trust, which transfer effected only a change in the form of beneficial ownership and did not result in any change in the Reporting Person's pecuniary interest in such shares. |
| 3 | Derivative | Class B Common Stock | 2024-05-10 | C | D | 117,135 | $0.00 | 58,145,409 | I By Living Trust | — · — to — | 117,135 Class A Common Stock | (F5) Reflects the total after giving effect to the transaction reported herein and correction of the total reflected on the Form 4 filed on April 25, 2024. (F1) As part of the transaction effected on May 10, 2024 pursuant to the Rule 10b5-1 trading plan adopted by the Living Trust on September 13, 2023 ("Bhatt 10b5-1 plan"), the Living Trust sold 117,135 shares of it's Class B Common Stock, resulting in an automatic conversion of the shares into Class A Common Stock upon execution of the sale. |