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

Role: Chief Financial Officer
Signature: /s/ Christina Lai, attorney-in-fact for Jason Warnick
Stock symbol: HOOD
Transactions as of: Oct 27, 2021
Transactions value $: -$1,592,496
Form type: 4
Date filed: 10/29/2021, 09:16 PM
Previous filing: Aug 3, 2021
Next filing: Dec 3, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HOOD	Class A Common Stock	Options Exercise		+108K	+34.54%		419K	Oct 27, 2021	Direct	F1
transaction	HOOD	Class A Common Stock	Tax liability	-$1.59M	-44.9K	-10.72%	$35.44	374K	Oct 27, 2021	Direct	F2

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	-43.8K	-17.65%	$0.00	204K	Oct 27, 2021	Class A Common Stock	43.8K		Direct	F1, F3
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-43.7K	-10%	$0.00	393K	Oct 27, 2021	Class A Common Stock	43.7K		Direct	F1, F4
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-20.2K	-7.14%	$0.00	262K	Oct 27, 2021	Class A Common Stock	20.2K		Direct	F1, F5

* 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 Class A 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 107,625 RSUs and does not represent a sale by the Reporting Person.
F3	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. 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 the Reporting Person's continued service with Robinhood through the applicable vesting date and subject to accelerated vesting in certain circumstances.
F4	On January 13, 2020, the Reporting Person was granted 699,432 RSUs under Robinhood's 2020 Equity Incentive Plan (the "2020 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.
F5	On December 9, 2020, the Reporting Person was granted 322,580 RSUs under the 2020 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.