0001209191-22-027256.txt : 20220504 0001209191-22-027256.hdr.sgml : 20220504 20220504195230 ACCESSION NUMBER: 0001209191-22-027256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220502 FILED AS OF DATE: 20220504 DATE AS OF CHANGE: 20220504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sonsini Peter W. CENTRAL INDEX KEY: 0001559807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40691 FILM NUMBER: 22893476 MAIL ADDRESS: STREET 1: 2855 SAND HILL 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 doc4.xml FORM 4 SUBMISSION X0306 4 2022-05-02 0 0001783879 Robinhood Markets, Inc. HOOD 0001559807 Sonsini Peter W. 2855 SAND HILL ROAD MENLO PARK CA 94025 1 0 0 0 Class A Common Stock 2022-05-02 4 J 0 21794173 0.00 D 21794172 I See Note 2 Class A Common Stock 2022-05-02 4 J 0 326913 0.00 A 326913 I See Note 4 Class A Common Stock 2022-05-02 4 J 0 326913 0.00 D 0 I See Note 4 Class A Common Stock 2022-05-02 4 J 0 2028736 0.00 D 2028736 I See Note 7 Class A Common Stock 2022-05-02 4 J 0 30431 0.00 A 30431 I See Note 9 Class A Common Stock 2022-05-02 4 J 0 30431 0.00 D 0 I See Note 9 Class A Common Stock 2022-05-02 4 J 0 8551 0.00 A 17670 I See Note 12 Class A Common Stock 2022-05-02 4 J 0 131 0.00 A 270 I See Note 14 Class A Common Stock 2022-05-02 4 J 0 131 0.00 A 270 I See Note 16 Class A Common Stock 2022-05-02 4 J 0 131 0.00 A 270 I See Note 18 New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 21,794,173 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on May 2, 2022. The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 326,913 shares of Class A Common Stock of the Issuer to its limited partners on May 2, 2022. New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on May 2, 2022. The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. NEA Partners 17 made a distribution for no consideration of an aggregate of 30,431 shares of Class A Common Stock of the Issuer to a limited partner on May 2, 2022. Peter W. Sonsini and Diane C. Sonsini, as trustees of the Peter & Diane Sonsini Family Trust dated January 17, 2007 (the "Sonsini Family Trust"), received 8,551 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. The Reporting Person is a trustee of the Sonsini Family Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Sonsini Family Trust in which the Reporting Person has no pecuniary interest. Peter W. Sonsini and Diane C. Sonsini, as trustees of the Elsa Katherine Sonsini Trust dated December 5, 2019 (the "Elsa Katherine Sonsini Trust"), received 131 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. The Reporting Person is a trustee of the Elsa Katherine Sonsini Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Elsa Katherine Sonsini Trust in which the Reporting Person has no pecuniary interest. Peter W. Sonsini and Diane C. Sonsini, as trustees of the Jake Theodore Sonsini Trust dated December 5, 2019 (the "Jake Theodore Sonsini Trust"), received 131 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. The Reporting Person is a trustee of the Jake Theodore Sonsini Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Jake Theodore Sonsini Trust in which the Reporting Person has no pecuniary interest. Peter W. Sonsini and Diane C. Sonsini, as trustees of the Louisa Marie Sonsini Trust dated December 5, 2019 (the "Louisa Marie Sonsini Trust"), received 131 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. The Reporting Person is a trustee of the Louisa Marie Sonsini Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Louisa Marie Sonsini Trust in which the Reporting Person has no pecuniary interest. Scott D. Sandell, the Managing General Partner at New Enterprise Associates, Inc. and a manager of NEA 15 GP and NEA 17 GP, has been deputized to represent the Reporting Person on the board of directors of the Issuer. By virtue of Mr. Sandell's representation, for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Person may be deemed a director by deputization of the Issuer. Mr. Sandell has filed a separate Section 16 report disclosing securities of the Issuer that he may be deemed to beneficially own for Section 16 purposes. /s/ Louis Citron, attorney-in-fact 2022-05-04