| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HOOD | Common Stock | Options Exercise | +765K | +2267.53% | 798K | Jul 28, 2021 | Direct | F1, F2, F3 | ||
| transaction | HOOD | Common Stock | Tax liability | -$14.4M | -379K | -47.49% | $38.00 | 419K | Jul 28, 2021 | Direct | F1, F4 |
| transaction | HOOD | Common Stock | Sale | -$269K | -7K | -1.67% | $38.47 | 412K | Jul 29, 2021 | Direct | F1, F5 |
| holding | HOOD | Common Stock | 172K | Jul 28, 2021 | By Family Trust | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HOOD | Restricted Stock Units | Options Exercise | $0 | -246K | -62.5% | $0.00 | 148K | Jul 28, 2021 | Common Stock | 246K | Direct | F1, F3, F6 | |
| transaction | HOOD | Restricted Stock Units | Options Exercise | $0 | -296K | -50% | $0.00 | 296K | Jul 28, 2021 | Common Stock | 296K | Direct | F1, F3, F7 | |
| transaction | HOOD | Restricted Stock Units | Options Exercise | $0 | -182K | -37.5% | $0.00 | 304K | Jul 28, 2021 | Common Stock | 182K | Direct | F1, F3, F8 | |
| transaction | HOOD | Restricted Stock Units | Options Exercise | $0 | -40.3K | -12.5% | $0.00 | 282K | Jul 28, 2021 | Common Stock | 40.3K | Direct | F1, F3, F9 |
| Id | Content |
|---|---|
| F1 | 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"). |
| F2 | Represents shares received upon vesting of restricted stock units ("RSUs") in connection with the IPO Liquidity Event (as defined below). |
| F3 | RSUs convert into Common Stock on a 1-for-1 basis upon vesting and settlement. |
| F4 | Represents shares withheld by Robinhood to satisfy tax withholding obligations in connection with the vesting of 764,748 RSUs and does not represent a sale by the Reporting Person. |
| F5 | This transaction was executed in multiple trades during the day at prices ranging from $38.00 to $39.99. 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 transactions were effected. |
| F6 | 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. Subject to accelerated vesting in certain circumstances, 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 (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"). |
| F7 | On August 19, 2019, the Reporting Person was granted 591,425 RSUs under the 2013 Plan, which award was amended and restated on January 13, 2020. Subject to accelerated vesting in certain circumstances, one-eighth (1/8) of these RSUs were scheduled to vest on January 1, 2020, with the remainder scheduled to vest in fourteen (14) 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. |
| F8 | On January 13, 2020, the Reporting Person was granted 486,102 RSUs under the 2013 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. |
| F9 | On December 9, 2020, the Reporting Person was granted 322,580 RSUs under Robinhood's 2020 Equity Incentive 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. |