Robinhood Markets, Inc.
For the period ended Mar 31, 2026. Filed Apr 29, 2026.
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Mar 31, 2026 · Filed Apr 29, 2026
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Item 5. Other Information
On March 12, 2026, Jeffrey Pinner, our Chief Technology Officer, adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408(a) of Regulation S-K) intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act pursuant to which he may sell shares of our Class A common stock resulting from the settlement of up to 214,461 unvested RSUs (less any shares withheld for applicable taxes), on or prior to July 1, 2027. RSUs convert into Class A common stock on a one-for-one basis upon vesting and settlement.
In addition, certain of our officers may, from time to time, make elections to participate in our ESPP and to have shares withheld to cover withholding taxes or pay the exercise price of options, which may be designed to satisfy the affirmative defense conditions of Rule 10b5-1 under the Exchange Act or may constitute “non-Rule 10b5-1 trading arrangements” (as defined in Item 408(c) of Regulation S-K).
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