Robinhood Markets, Inc.
For the period ended Sep 30, 2026. Filed Oct 28, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Oct 28, 2026
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Item 5. Other Information
On July 31, 2026, Shiv Verma, our Chief Financial 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 (i) up to 40,258 shares of our Class A common stock, and (ii) up to 19,436 shares of our Class A common stock (less any shares previously sold under predecessor Rule 10b5-1 trading arrangements), in each case on or prior to August 27, 2027.
On August 3, 2026, Dara Bazzano, our Chief Accounting 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 she may sell shares of our Class A common stock resulting from the settlement of up to 31,378 unvested RSUs (less any shares withheld for applicable taxes), on or prior to November 26, 2027. RSUs convert into Class A common stock on a one-for-one basis upon vesting and settlement.
On August 5, 2026, Daniel Gallagher, our Chief Legal 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 (i) up to 120,000 shares of our Class A common stock, (ii) up to 50,000 shares of our Class A common stock (less any shares previously sold under predecessor Rule 10b5-1 trading arrangements), and (iii) up to 50,000 shares of our Class A common stock resulting from the settlement of up to 112,856 unvested RSUs (less any shares withheld for applicable taxes), in each case on or prior to November 19, 2027. RSUs convert into Class A common stock on a one-for-one basis upon vesting and settlement.
On September 14, 2026, Vlad Tenev, our Chair and Chief Executive 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 up to 1,900,000 shares of our Class A common stock on or prior to November 19, 2027.
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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