Smedley Christina's Form 4 filing
Robinhood Markets, Inc. (HOOD) · filed Jul 30, 2021
- Accession no.
- 0001628280-21-015064
- Filed
- Jul 30, 2021
- Trade date
- Jul 28-29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.52M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Smedley ChristinaCIK 0001871293 | Officer (Chief Marketing Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 28, 2021 | Common Stock | MOption exerciseAcquired | +174,758 | –F3 | – | 174,758 | Direct | |
| Jul 28, 2021 | Common Stock | FTax withholdingDisposed | −74,847 | $38.00 | −$2,844,186 | 99,884 | Direct | |
| Jul 29, 2021 | Common Stock | SSaleDisposed | −99,884 | $35.28F5 | −$3,523,907.52 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 28, 2021 | Common Stock | MOption exerciseDisposed | −142,500 | $0.00 | $0 | 617,500 | Direct | |
| Jul 28, 2021 | Common Stock | MOption exerciseDisposed | −32,258 | $0.00 | $0 | 225,807 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
RSUs convert into Common Stock on a one-for-one basis upon vesting and settlement.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades during the day at prices ranging from $34.82 to $39.99. The weighted-average price is reported above. The reporting person hereby undertakes to provide to the SEC staff, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.