Item 5. Other Information
ITEM 5. OTHER INFORMATION
Not applicable.
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ITEM 6. EXHIBIT INDEX
The documents listed below are filed (or furnished, as noted) as exhibits to this Quarterly Report on Form 10-Q:
Incorporated by Reference
Exhibit Number Description Form* Filing Date Exhibit Filed Herewith
3.1 Amended and Restated Certificate of Incorporation of Robinhood Markets, Inc., dated August 2, 2021 (our “Charter”)
8-K 2021-08-02 3.1
3.2 Amended and Restated Bylaws of Robinhood Markets, Inc., dated February 24, 2022 (our “Bylaws”)
10-K 2022-02-24 3.2
4.1 Form of Class A Common Stock Certificate of Robinhood Markets, Inc .
S-1/A 2021-07-19 4.1
4.2 Form of ten-year Warrant to Purchase Stock of Robinhood Markets, Inc., issued to multiple investors on February 12, 2021
S-1 2021-07-01 4.2
10.1 Form of Indemnification Agreement (VC Fund-Affiliated Director)
X
10.2 Joinder Agreement, dated December 13, 2021 by Bhatt Family L L C, becoming party to the Voting Agreement, dated July 26, 2021, among Robinhood Markets, Inc., Baiju Bhatt, Vladimir Tenev, and certain related entities
X
10.3+ Offer Letter between Robinhood Markets, Inc. and Gretchen Howard, dated November 16, 2018
X
10.4+ Offer Letter between Robinhood Markets, Inc. and Aparna Chennapragada, dated February 18, 2021
X
10.5.1+ Offer Letter between Robinhood Markets, Inc. and Christina Smedley, dated July 4, 2020
X
10.5.2+ Separation Agreement between Robinhood Markets, Inc. and Christina Smedley, dated August 21, 2021
X
10.6 +
Form of Stock Option Agreement for Employees and Non-Employee Directors (including the Notices of Grant) under the Robinhood Markets, Inc. 2021 Omnibus Incentive Plan
X
10.7 Amended and Restated Credit Agreement, dated as of April 11, 2022, among Robinhood Securities, LLC, as borrower, the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent
8-K 2022-04-14 10.1
31.1 CEO Certification pursuant to Section 302 of the Sarbanes-Oxley Act
X
31.2 CFO Certification pursuant to Section 302 of the Sarbanes-Oxley Act
X
32.1‡ CEO Certification pursuant to Section 906 of the Sarbanes-Oxley Act
X
32.2‡ CFO Certification pursuant to Section 906 of the Sarbanes-Oxley Act
X
101.INS iXBRL (Inline eXtensible Business Reporting Language) Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document X
101.SCH iXBRL Taxonomy Extension Schema Document X
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101.CAL iXBRL Taxonomy Extension Calculation Linkbase Document X
101.DEF iXBRL Taxonomy Extension Definition Linkbase Document X
101.LAB iXBRL Taxonomy Extension Label Linkbase Document. X
101.PRE iXBRL Taxonomy Extension Presentation Linkbase Document. X
104 Cover Page Interactive Data File (contained in Exhibit 101) X
__________________
* File number is 001-40691 except that the S-1 (and S-1/A) file number is 333-257602.
+ Indicates a management contract or compensatory plan.
‡ The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of Robinhood Markets, Inc. under the Securities Act of 1933, as amended, or the Securities Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1934, the Registrant has duly signed this report to be signed on its behalf by the undersigned, thereunto duly authorized, in Menlo Park, California, on May 6, 2022.
Robinhood Markets, Inc.
By: /s/ Vladimir Tenev
Name: Vladimir Tenev
Title: Co-Founder, Chief Executive Officer and President
By: /s/ Jason Warnick
Name: Jason Warnick
Title: Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)
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