FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person
*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/29/2021 |
3. Issuer Name
and
Ticker or Trading Symbol
Robinhood Markets, Inc. [ HOOD ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check
Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 3,140,180 | By Index Ventures Growth III (Jersey), L.P. (2) | |
Common Stock (1) | 2,552,640 | ||
Common Stock (1) | 51,520 | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. (4) | |
Common Stock (1) | 80,780 | By Yucca (Jersey) SLP (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 55,798,140 | (6) | D (3) | |
Series A Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 1,126,280 | (6) | I | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. (4) |
Series A Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 720,560 | (6) | I | By Yucca (Jersey) SLP (5) |
Series B Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 11,671,300 | (6) | D (3) | |
Series B Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 235,580 | (6) | I | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. (4) |
Series B Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 150,720 | (6) | I | By Yucca (Jersey) SLP (5) |
Series C Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 7,156,340 | (6) | I | By Index Ventures Growth III (Jersey), L.P. (2) |
Series C Redeemable Convertible Preferred Stock | (6) | (6) | Common Stock (1) | 108,960 | (6) | I | By Yucca (Jersey) SLP (5) |
Tranche I Convertible Promissory Note | (8) | (7) | Common Stock (1) | 56,390 (1) (7) | 26.6 (8) | I | By Yucca (Jersey) SLP (5) |
Tranche I Convertible Promissory Note | (8) | (7) | Common Stock (1) | 1,823,308 (1) (7) | 26.6 (8) | I | By Index Ventures Growth V (Jersey) L.P. (9) |
Warrants to Purchase Stock | (8) | 02/12/2031 | Common Stock (1) | 8,458 | 26.6 (8) | I | By Yucca (Jersey) SLP (5) |
Warrants to Purchase Stock | (8) | 02/12/2031 | Common Stock (1) | 273,496 | 26.6 (8) | I | By Index Ventures Growth V (Jersey) L.P. (9) |
Index Ventures VI (Jersey) L.P., By: Index Venture Associates VI Limited, as Managing General Partner, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Ventures Growth III (Jersey), LP, By: Index Venture Growth Associates III Limited, as Managing General Partner, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Venture Growth Associates III Limited, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Ventures Growth V (Jersey), LP, By: Index Venture Growth Associates V Limited, as Managing General Partner, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Venture Growth Associates V Limited, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P., By: Index Venture Associates VI Limited, as Managing General Partner, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Index Venture Associates VI Limited, By: /s/ Matthew Miles, Alternate Director | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Yucca (Jersey) SLP, By: Intertrust Employee Benefit Services Limited, as authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme, By: /s/ Genesis Perez, /s/ Luke Aubert, Its: Auth. Signatories | 07/29/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |