0001783879-22-000024.txt : 20220203 0001783879-22-000024.hdr.sgml : 20220203 20220203184913 ACCESSION NUMBER: 0001783879-22-000024 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210728 FILED AS OF DATE: 20220203 DATE AS OF CHANGE: 20220203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gallagher Daniel Martin Jr CENTRAL INDEX KEY: 0001705560 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-40691 FILM NUMBER: 22590201 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 3/A 1 wf-form3a_164393213759715.xml FORM 3/A X0206 3/A 2021-07-28 2021-07-29 0 0001783879 Robinhood Markets, Inc. HOOD 0001705560 Gallagher Daniel Martin Jr C/O ROBINHOOD MARKETS, INC. 85 WILLOW ROAD MENLO PARK CA 94025 0 1 0 0 Chief Legal Officer Restricted Stock Units 2026-10-08 Common Stock 10013.0 D On October 8, 2019, the Reporting Person was granted 40,055 restricted stock units ("RSUs") under the Robinhood Markets, Inc. ("Robinhood") Amended and Restated 2013 Stock Plan (the "2013 Plan") for his service on Robinhood's board of directors. A total of 30,042 RSUs were forfeited on April 27, 2020 when the Reporting Person stepped down from the board to serve as Robinhood's Chief Legal Officer. Subject to accelerated vesting in certain circumstances, the remaining 10,013 RSUs will vest upon the effectiveness of Robinhood's initial public offering ("IPO") registration statement on Form S-1. Shares of Common Stock will automatically be reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of Robinhood's Amended and Restated Certificate of Incorporation immediately prior to the closing of Robinhood's IPO. RSUs convert into Common Stock on a one-for-one basis upon vesting and settlement. This filing amends a prior form and does not represent any new transaction. The Reporting Person's Form 3 filed on July 29, 2021 incorrectly stated that 40,055 RSUs from the October 8, 2019 RSU award remained outstanding and subject to vesting; the actual number of RSUs outstanding under such award was 10,013. This amendment shall also serve to correct the corresponding amount that was carried forward to the Reporting Person's Form 4 filed on July 30, 2021. /s/ Brandon Webb, attorney-in-fact for Daniel M. Gallagher, Jr. 2022-02-03