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Signature
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/s/ Brandon Webb, attorney-in-fact for Jason Warnick
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Stock symbol
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HOOD
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Transactions as of
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Mar 1, 2024
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Transactions value $
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-$748,975
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Form type
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4
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Date filed
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3/5/2024, 06:09 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
HOOD |
Class A Common Stock |
Options Exercise |
|
+101K |
+11.03% |
|
1.02M |
Mar 1, 2024 |
Direct |
F1 |
transaction |
HOOD |
Class A Common Stock |
Tax liability |
-$667K |
-40.9K |
-4.02% |
$16.31 |
976K |
Mar 1, 2024 |
Direct |
F2 |
transaction |
HOOD |
Class A Common Stock |
Sale |
-$82.4K |
-5K |
-0.51% |
$16.47 |
971K |
Mar 1, 2024 |
Direct |
F3, F4 |
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 |
-24.1K |
-11.11% |
$0.00 |
193K |
Mar 1, 2024 |
Class A Common Stock |
24.1K |
|
Direct |
F1, F5 |
transaction |
HOOD |
Restricted Stock Units |
Options Exercise |
$0 |
-28K |
-20% |
$0.00 |
112K |
Mar 1, 2024 |
Class A Common Stock |
28K |
|
Direct |
F1, F6 |
transaction |
HOOD |
Restricted Stock Units |
Options Exercise |
$0 |
-49K |
-7.69% |
$0.00 |
588K |
Mar 1, 2024 |
Class A Common Stock |
49K |
|
Direct |
F1, F7 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: