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Filing Details

Accession Number:: 0001628280-21-015066
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-07-30 16:26:41
Reporting Period:: 2021-07-28

Accepted Time:: 2021-07-30 16:26:41
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1783879	Robinhood Markets Inc.	HOOD	Security Brokers, Dealers & Flotation Companies (6211)	464364776

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1871212	Jason Warnick	C/O Robinhood Markets, Inc. 85 Willow Road Menlo Park CA 94025	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-07-28	754,692	$0.00	754,692	No	4	M	Direct
Common Stock	Disposition	2021-07-28	260,407	$38.00	494,285	No	4	F	Direct
Common Stock	Disposition	2021-07-28	125,000	$36.40	369,285	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2021-07-28	452,083	$0.00	452,083	$0.00
Common Stock	Restricted Stock Units	Disposition	2021-07-28	262,287	$0.00	262,287	$0.00
Common Stock	Restricted Stock Units	Disposition	2021-07-28	40,322	$0.00	40,322	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
247,917	2025-12-14	No	4	M	Direct
437,145	2027-01-12	No	4	M	Direct
282,258	2027-12-09	No	4	M	Direct

Footnotes

Shares of Common Stock will automatically be reclassified as shares of Class A Common Stock on a one-for-one basis 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 ("IPO").
Represents shares received upon vesting of restricted stock units ("RSUs") in connection with the IPO Liquidity Event (as defined below).
RSUs convert into Common Stock on a one-for-one basis upon vesting and settlement.
Represents shares withheld by Robinhood to satisfy tax withholding obligations in connection with the vesting of 754,692 RSUs and does not represent a sale by the Reporting Person.
Represents shares sold by the Reporting Person as a selling stockholder in the IPO.
Represents the IPO price, less underwriting discounts and commissions.
On December 15, 2018, the Reporting Person was granted 700,000 RSUs under Robinhood's Amended and Restated 2013 Stock Plan, which award was amended and restated on January 13, 2020. Subject to accelerated vesting in certain circumstances, one-fourth (1/4) of these RSUs were scheduled to vest on December 4, 2019, with the remainder scheduled to vest in thirty-six (36) equal monthly installments thereafter, in each case subject to (a) the Reporting Person's continued service with Robinhood through the applicable vesting date and (b) the occurrence of a liquidity event, which was satisfied upon the effectiveness of Robinhood's IPO registration statement on Form S-1 ("Liquidity Event").
On January 13, 2020, the Reporting Person was granted 699,432 RSUs under Robinhood's 2020 Equity Incentive Plan (the "2020 Plan"). Subject to accelerated vesting in certain circumstances, 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 (a) the Reporting Person's continued service with Robinhood through the applicable vesting date and (b) the occurrence of a Liquidity Event.
On December 9, 2020, the Reporting Person was granted 322,580 RSUs under the 2020 Plan. Subject to accelerated vesting in certain circumstances, one-sixteenth (1/16) of these RSUs were scheduled to vest on April 1, 2021, with the remainder scheduled to vest in fifteen (15) equal quarterly installments thereafter, in each case subject to (a) the Reporting Person's continued service with Robinhood through the applicable vesting date and (b) the occurrence of a Liquidity Event.