-
Signature
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/s/ Brandon Webb, attorney-in-fact for Baiju Bhatt
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Stock symbol
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HOOD
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Transactions as of
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Aug 14, 2024
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Transactions value $
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-$2,695,495
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Form type
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4
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Date filed
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8/16/2024, 06:26 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
HOOD |
Class A Common Stock |
Conversion of derivative security |
|
+144K |
|
|
144K |
Aug 14, 2024 |
By Living Trust |
F1 |
| transaction |
HOOD |
Class A Common Stock |
Sale |
-$2.7M |
-144K |
-100% |
$18.73 |
0 |
Aug 14, 2024 |
By Living Trust |
F2, F3 |
| holding |
HOOD |
Class A Common Stock |
|
|
|
|
|
0 |
Aug 14, 2024 |
Direct |
|
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 |
Class B Common Stock |
Conversion of derivative security |
$0 |
-144K |
-0.25% |
$0.00 |
58.2M |
Aug 14, 2024 |
Class A Common Stock |
144K |
|
By Living Trust |
F1 |
* 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: