0001783879-21-000108.txt : 20211213 0001783879-21-000108.hdr.sgml : 20211213 20211213202909 ACCESSION NUMBER: 0001783879-21-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211209 FILED AS OF DATE: 20211213 DATE AS OF CHANGE: 20211213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bhatt Baiju CENTRAL INDEX KEY: 0001870914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40691 FILM NUMBER: 211489426 MAIL ADDRESS: STREET 1: C/O ROBINHOOD MARKETS, INC. STREET 2: 85 WILLOW ROAD 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_163944533495958.xml FORM 4 X0306 4 2021-12-09 0 0001783879 Robinhood Markets, Inc. HOOD 0001870914 Bhatt Baiju C/O ROBINHOOD MARKETS, INC. 85 WILLOW ROAD MENLO PARK CA 94025 1 1 0 0 Chief Creative Officer Class A Common Stock 2021-12-09 4 C 0 2200000 A 3212254 I By Living Trust Class B Common Stock 2021-12-09 4 C 0 2200000 0 D Class A Common Stock 2200000.0 58591600 I By Living Trust Class B Common Stock Class A Common Stock 565079.0 565079 I By Family Trust Class B Common Stock Class A Common Stock 1720944.0 1720944 I By 2018 GRAT Class B Common Stock Class A Common Stock 2000000.0 2000000 I By 2021 GRAT On December 9, 2021, the Reported Person's Living Trust converted 2,200,000 shares of Class B Common Stock into Class A Common Stock. This transaction was effected pursuant to a Rule 10b5-1 instruction adopted by the Living Trust on September 3, 2021. Shares of Class B Common Stock are convertible into Class A Common Stock on a one-for-one basis (a) at the holder's election at any time, (b) upon certain transfers of such shares, or (c) in connection with the holder's death or disability in certain circumstances and, if not previously converted, will so convert at the earlier of (i) certain dates determined either by a vote of the holders of the shares of Class B Common Stock or by Robinhood's Board of Directors as described in Robinhood's Amended and Restated Certificate of Incorporation or (ii) August 2, 2036. /s/ Christina Lai, attorney-in-fact for Baiju Bhatt 2021-12-13