0001783879-21-000097.txt : 20211203 0001783879-21-000097.hdr.sgml : 20211203 20211203204138 ACCESSION NUMBER: 0001783879-21-000097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211203 DATE AS OF CHANGE: 20211203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warnick Jason CENTRAL INDEX KEY: 0001871212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40691 FILM NUMBER: 211471708 MAIL ADDRESS: STREET 1: C/O ROBINHOOD MARKETS INC CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Robinhood Markets, Inc. CENTRAL INDEX KEY: 0001783879 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 464364776 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 85 WILLOW STREET CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 844-428-5411 MAIL ADDRESS: STREET 1: 85 WILLOW STREET CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 wf-form4_163858208362301.xml FORM 4 X0306 4 2021-12-01 0 0001783879 Robinhood Markets, Inc. HOOD 0001871212 Warnick Jason C/O ROBINHOOD MARKETS, INC. 85 WILLOW ROAD MENLO PARK CA 94025 0 1 0 0 Chief Financial Officer Class A Common Stock 2021-12-01 4 M 0 72882 A 447157 D Class A Common Stock 2021-12-01 4 F 0 30636 23.93 D 416521 D Restricted Stock Units 2021-12-01 4 M 0 29167 0 D 2025-12-14 Class A Common Stock 29167.0 175000 D Restricted Stock Units 2021-12-01 4 M 0 43715 0 D 2027-01-12 Class A Common Stock 43715.0 349716 D Restricted stock units ("RSUs") convert into Class A Common Stock on a one-for-one basis upon vesting and settlement. Reflects the acquisition of 549 shares in November 2021 under the Robinhood Markets, Inc. ("Robinhood") 2021 Employee Share Purchase Plan. Represents shares withheld by Robinhood to satisfy tax withholding obligations in connection with the vesting and settlement of 72,882 RSUs and does not represent a sale by the Reporting Person. 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. On September 8, 2021, the RSU award was amended to move each subsequent vesting date to the first day of the calendar month in which it was otherwise scheduled to occur. Approximately half of the settlement transaction reported on this line represents RSUs that vested on November 1, 2021, for which Robinhood delayed settlement until the expiration of its initial public offering lock-up period. On January 13, 2020, the Reporting Person was granted 699,432 RSUs under Robinhood's 2020 Equity Incentive 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. /s/ Christina Lai, attorney-in-fact for Jason Warnick 2021-12-03