| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HOOD | Common Stock | Conversion of derivative security | +7.16M | +227.9% | 10.3M | Aug 2, 2021 | By Index Ventures Growth III (Jersey) L.P. | F1, F2 | ||
| transaction | HOOD | Common Stock | Conversion of derivative security | +67.5M | +2643.12% | 70M | Aug 2, 2021 | Direct | F1, F3 | ||
| transaction | HOOD | Common Stock | Conversion of derivative security | +1.36M | +2643.36% | 1.41M | Aug 2, 2021 | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | F1, F4 | ||
| transaction | HOOD | Common Stock | Conversion of derivative security | +980K | +1213.47% | 1.06M | Aug 2, 2021 | By Yucca (Jersey) SLP | F1, F5 | ||
| transaction | HOOD | Common Stock | Other | -10.3M | -100% | 0 | Aug 2, 2021 | By Index Ventures Growth III (Jersey) L.P. | F2, F6 | ||
| transaction | HOOD | Common Stock | Other | -70M | -100% | 0 | Aug 2, 2021 | Direct | F3, F6 | ||
| transaction | HOOD | Common Stock | Other | -1.41M | -100% | 0 | Aug 2, 2021 | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | F4, F6 | ||
| transaction | HOOD | Common Stock | Other | -1.06M | -100% | 0 | Aug 2, 2021 | By Yucca (Jersey) SLP | F5, F6 | ||
| transaction | HOOD | Class A Common Stock | Other | +10.3M | 10.3M | Aug 2, 2021 | By Index Ventures Growth III (Jersey) L.P. | F2, F6 | |||
| transaction | HOOD | Class A Common Stock | Other | +70M | 70M | Aug 2, 2021 | Direct | F3, F6 | |||
| transaction | HOOD | Class A Common Stock | Other | +1.41M | 1.41M | Aug 2, 2021 | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | F4, F6 | |||
| transaction | HOOD | Class A Common Stock | Other | +1.06M | 1.06M | Aug 2, 2021 | By Yucca (Jersey) SLP | F5, F6 | |||
| transaction | HOOD | Class A Common Stock | Conversion of derivative security | $1.54M | +58K | +5.46% | $26.60 | 1.12M | Aug 2, 2021 | By Yucca (Jersey) SLP | F5 |
| transaction | HOOD | Class A Common Stock | Conversion of derivative security | $49.9M | +1.87M | $26.60 | 1.87M | Aug 2, 2021 | By Index Ventures Growth V (Jersey) L.P. | F7 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HOOD | Series A Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -55.8M | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 55.8M | Direct | F1, F3 | |
| transaction | HOOD | Series A Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -1.13M | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 1.13M | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | F1, F4 | |
| transaction | HOOD | Series A Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -721K | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 721K | By Yucca (Jersey) SLP | F1, F5 | |
| transaction | HOOD | Series B Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -11.7M | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 11.7M | Direct | F1, F3 | |
| transaction | HOOD | Series B Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -236K | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 236K | By Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. | F1, F4 | |
| transaction | HOOD | Series B Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -151K | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 151K | By Yucca (Jersey) SLP | F1, F5 | |
| transaction | HOOD | Series C Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -7.16M | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 7.16M | By Index Ventures Growth III (Jersey) L.P. | F1, F2 | |
| transaction | HOOD | Series C Redeemable Convertible Preferred Stock | Conversion of derivative security | $0 | -109K | -100% | $0.00* | 0 | Aug 2, 2021 | Common Stock | 109K | By Yucca (Jersey) SLP | F1, F5 | |
| transaction | HOOD | Tranche I Convertible Promissory Note | Conversion of derivative security | -$1.5M | 0 | Aug 2, 2021 | Class A Common Stock | 58K | $26.60 | By Yucca (Jersey) SLP | F5, F8 | |||
| transaction | HOOD | Tranche I Convertible Promissory Note | Conversion of derivative security | -$48.5M | 0 | Aug 2, 2021 | Class A Common Stock | 1.87M | $26.60 | By Index Ventures Growth V (Jersey) L.P. | F7, F8 |
| Id | Content |
|---|---|
| F1 | The Series A Redeemable Convertible Preferred Stock, Series B Redeemable Convertible Preferred Stock and Series C Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") were convertible at any time at the holder's election and automatically converted immediately prior to closing of the Issuer's initial public offering ("IPO") into an equal number of shares of Common Stock without payment of additional consideration. The Preferred Stock had no expiration date. |
| F2 | The securities are held by Index Ventures Growth III (Jersey) L.P. ("Index Growth III"). Index Venture Growth Associates III Limited ("IVGA III") is the managing general partner of Index Growth III and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| F3 | The securities are held by Index Ventures VI (Jersey) L.P. ("Index VI"). Index Venture Associates VI Limited ("IVA VI") is the managing general partner of Index VI and disclaims Section 16 beneficial ownership of such shares except to the to the extent of its pecuniary interest therein, if any. |
| F4 | The securities are held by Index Ventures VI Parallel Entrepreneur Fund (Jersey) L.P. ("Index VI Parallel"). IVA VI is the managing general partner of Index VI Parallel and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| F5 | The securities are held by Yucca (Jersey) SLP ("Yucca"). Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Fund's investment in the issuer (in this case, Index Growth III, Index VI, Index VI Parallel and Index Growth V). Each of IVGA III, IVA VI and IVGA V disclaims Section 16 beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose. |
| F6 | Immediately prior to the closing of the IPO and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class A Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3 (the "Reclassification"). |
| F7 | The securities are held by Index Ventures Growth V (Jersey), L.P. ("Index Growth V"). Index Venture Growth Associates V Limited ("IVGA V") is the managing general partner of Index Growth V and disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. |
| F8 | Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Tranche I Convertible Promissory Note ("Convertible Note") (together with accrued interest thereon) automatically converted into Class A Common Stock at a conversion price equal to $26.60. The Convertible Note did not have a maturity date. The treatment of the Convertible Note in the IPO was exempt pursuant to Rule 16b-6 and Rule 16b-3. |
Jan Hammer, a Partner at Index Ventures, has been deputized to represent the Reporting Persons on the board of directors of the Issuer. By virtue of Mr. Hammer's representation, for purposes of Section 16 of the Securities Exchange Act of 1934, each of the Reporting Persons may be deemed directors by deputization of the Issuer. Mr. Hammer has filed a separate Section 16 report disclosing securities of the Issuer that he may be deemed to beneficially own for Section 16 purposes.