| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HOOD | Class A Common Stock | Other | $0 | -21.8M | -33.33% | $0.00 | 43.6M | Jan 28, 2022 | Direct | F1, F2 |
| transaction | HOOD | Class A Common Stock | Other | $0 | +327K | +1503.46% | $0.00 | 349K | Jan 28, 2022 | By NEA Partners 15, L.P. | F3, F4 |
| transaction | HOOD | Class A Common Stock | Other | $0 | -349K | -100% | $0.00* | 0 | Jan 28, 2022 | By NEA Partners 15, L.P. | F4, F5 |
| transaction | HOOD | Class A Common Stock | Other | $0 | -2.03M | -33.33% | $0.00 | 4.06M | Jan 28, 2022 | By New Enterprise Associates 17, L.P. | F6, F7 |
| transaction | HOOD | Class A Common Stock | Other | $0 | +30.4K | +139.95% | $0.00 | 52.2K | Jan 28, 2022 | By NEA Partners 17, L.P. | F8, F9 |
| transaction | HOOD | Class A Common Stock | Other | $0 | -52.2K | -100% | $0.00* | 0 | Jan 28, 2022 | By NEA Partners 17, L.P. | F9, F10 |
| Id | Content |
|---|---|
| F1 | New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 21,794,173 shares of Class A Common Stock of the Issuer to its general partner and limited partners on January 28, 2022. |
| F2 | The securities are directly held by NEA 15 and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "NEA 15 Managers"), together, the "NEA 15 Indirect Reporting Persons"). The NEA 15 Managers are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The NEA 15 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the NEA 15 Indirect Reporting Persons have no pecuniary interest. |
| F3 | NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on January 28, 2022. |
| F4 | The securities are directly held by NEA Partners 15 and indirectly held by NEA 15 GP, the sole general partner of NEA Partners 15, and the NEA 15 Managers (NEA 15 GP and the NEA 15 Managers together, the "NEA Partners 15 Indirect Reporting Persons"). The NEA Partners 15 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the NEA Partners 15 Indirect Reporting Persons have no pecuniary interest. |
| F5 | NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 348,657 shares of Class A Common Stock of the Issuer to its limited partners on January 28, 2022. |
| F6 | New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on January 28, 2022. |
| F7 | The securities are directly held by NEA 17 and are indirectly held by NEA Partners 17, L.P. ("NEA Partners 17"), the sole general partner of NEA 17, NEA 17 GP, LLC ("NEA 17 GP"), the sole general partner of NEA Partners 17, and the individual managers of NEA 17 GP (NEA Partners 17, NEA 17 GP and the individual managers of NEA 17 GP (collectively, the "NEA 17 Managers"), together, the "NEA 17 Indirect Reporting Persons"). The NEA 17 Managers are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony Florence, Jr., Liza Landsman, Mohamad Makhzoumi, Edward Mathers, Scott Sandell, Peter Sonsini, Paul Walker and Rick Yang. The NEA 17 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the NEA 17 Indirect Reporting Persons have no pecuniary interest. |
| F8 | NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on January 28, 2022. |
| F9 | The securities are directly held by NEA Partners 17 and indirectly held by NEA 17 GP, the sole general partner of NEA Partners 17, and the NEA 17 Managers (NEA 17 GP and the NEA 17 Managers together, the "NEA Partners 17 Indirect Reporting Persons"). The NEA Partners 17 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the NEA Partners 17 Indirect Reporting Persons have no pecuniary interest. |
| F10 | NEA Partners 17 made a distribution for no consideration of an aggregate of 51,175 shares of Class A Common Stock of the Issuer to a limited partner on January 28, 2022. |
Scott D. Sandell, the Managing General Partner at New Enterprise Associates, Inc. and a manager of NEA 15 GP and NEA 17 GP, has been deputized to represent the Reporting Persons on the board of directors of the Issuer. By virtue of Mr. Sandell's representation, for purposes of Section 16 of the Securities Exchange Act of 1934, each of the Reporting Persons may be deemed directors by deputization of the Issuer. Mr. Sandell has filed a separate Section 16 report disclosing securities of the Issuer that he may be deemed to beneficially own for Section 16 purposes.