Gretchen Howard - 27 Oct 2021 Form 4 Insider Report for Robinhood Markets, Inc. (HOOD)

Role: Chief Operating Officer
Signature: /s/ Christina Lai, attorney-in-fact for Gretchen Howard
Issuer symbol: HOOD
Transactions as of: 27 Oct 2021
Net transactions value: -$1,970,641
Form type: 4
Filing time: 29 Oct 2021, 21:16:34 UTC
Previous filing: 03 Aug 2021
Next filing: 12 Nov 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HOOD	Class A Common Stock	Options Exercise		+112,149	+51%		331,449	27 Oct 2021	Direct	F1
transaction	HOOD	Class A Common Stock	Tax liability	$1,970,641	-55,605	-17%	$35.44	275,844	27 Oct 2021	Direct	F2
holding	HOOD	Class A Common Stock						172,064	27 Oct 2021	By Family Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

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	-24,643	-17%	$0.000000	123,214	27 Oct 2021	Class A Common Stock	24,643		Direct	F1, F3
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-36,964	-12%	$0.000000	258,749	27 Oct 2021	Class A Common Stock	36,964		Direct	F1, F4
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-30,381	-10%	$0.000000	273,433	27 Oct 2021	Class A Common Stock	30,381		Direct	F1, F5
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-20,161	-7.1%	$0.000000	262,097	27 Oct 2021	Class A Common Stock	20,161		Direct	F1, F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis upon vesting and settlement.
F2	Represents shares withheld by Robinhood Markets, Inc. ("Robinhood") to satisfy tax withholding obligations in connection with the vesting of 112,149 RSUs and does not represent a sale by the Reporting Person.
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.
F4	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. 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 the Reporting Person's continued service with Robinhood through the applicable vesting date and subject to accelerated vesting in certain circumstances.
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.
F6	On December 9, 2020, the Reporting Person was granted 322,580 RSUs under Robinhood's 2020 Equity Incentive Plan. 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 the Reporting Person's continued service with Robinhood through the applicable vesting date and subject to accelerated vesting in certain circumstances.