09/03/2026 | Press release | Distributed by Public on 09/03/2026 14:44
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (1) | 09/01/2026 | M | 6,977 | (3) | (3) | Class A Common Stock | 6,977 | $ 0 | 34,805 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Bazzano Dara C/O ROBINHOOD MARKETS, INC. 85 WILLOW ROAD MENLO PARK, CA 94025 |
Chief Accounting Officer | |||
| /s/ Maureen Montgomery, attorney-in-fact for Dara Bazzano | 09/03/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Restricted stock units ("RSUs") convert into Class A Common Stock on a one-for-one basis upon vesting and settlement. |
| (2) | Represents shares withheld by Robinhood Markets, Inc. ("Robinhood") to satisfy tax withholding obligations in connection with the vesting and settlement of 6,977 RSUs and does not represent a sale by the Reporting Person. |
| (3) | On May 6, 2026, the Reporting Person was granted 41,782 RSUs under Robinhood's 2021 Omnibus Incentive Plan (the "2021 Plan"). Approximately 16.7% of the RSUs subject to the award vested on September 1, 2026, with an additional approximately 16.7% scheduled to vest on each of December 1, 2026, March 1, 2027 and June 1, 2027, followed by an additional approximately 8.3% scheduled to vest on each of September 1, 2027, December 1, 2027, March 1, 2028 and June 1, 2028, 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. |
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Remarks: Exhibit 24 - Power of Attorney |
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