Jason Warnick - 01 Dec 2023 Form 4 Insider Report for Robinhood Markets, Inc. (HOOD)

Role: Chief Financial Officer
Signature: /s/ Brandon Webb, attorney-in-fact for Jason Warnick
Issuer symbol: HOOD
Transactions as of: 01 Dec 2023
Net transactions value: -$548,780
Form type: 4
Filing time: 05 Dec 2023, 18:43:19 UTC
Previous filing: 03 Oct 2023
Next filing: 15 Dec 2023
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		+144,815	+18%		969,930	01 Dec 2023	Direct	F1
transaction	HOOD	Class A Common Stock	Tax liability	$548,780	-58,882	-6.1%	$9.32	911,048	01 Dec 2023	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	-43,715	-100%	$0.000000^*	0	01 Dec 2023	Class A Common Stock	43,715		Direct	F1, F3
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-24,113	-10%	$0.000000	217,014	01 Dec 2023	Class A Common Stock	24,113		Direct	F1, F4
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-48,992	-7.1%	$0.000000	636,899	01 Dec 2023	Class A Common Stock	48,992		Direct	F1, F5
transaction	HOOD	Restricted Stock Units	Options Exercise	$0	-27,995	-17%	$0.000000	139,979	01 Dec 2023	Class A Common Stock	27,995		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 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 and settlement of 144,815 RSUs and does not represent a sale by the Reporting Person.
F3	On January 13, 2020, the Reporting Person was granted 699,432 RSUs under Robinhood 's 2013 Equity Incentive Plan. One-fourth (1/4) of these RSUs vested 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.
F4	On March 24, 2022, the Reporting Person was granted 385,802 RSUs under Robinhood's 2021 Omnibus Incentive Plan (the "2021 Plan"). One-sixteenth (1/16) of these RSUs vested on June 1, 2022, 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.
F5	On March 22, 2023, the Reporting Person was granted 783,875 RSUs under the 2021 Plan. One-sixteenth (1/16) of these RSUs vested on June 1, 2023, 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.
F6	On March 22, 2023, the Reporting Person was granted 223,965 RSUs under the 2021 Plan. One-eighth (1/8) of these RSUs vested on June 1, 2023, with the remainder scheduled to vest in seven (7) 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.