Planned sale and 10b5-1 trades by HOOD holder (Ticker: HOOD)

Rhea-AI Filing Summary

A shareholder associated with the BAIJU PRAFULKUMAR BHATT LIVING TRUST filed a notice to sell up to 42,501 common shares through Morgan Stanley Smith Barney LLC Executive Financial Services on NASDAQ as of 08/14/2026.

The trust previously completed Rule 10b5-1 sales of 49,223 shares on 07/24/2026, 57,898 shares on 06/11/2026, and 67,422 shares on 05/20/2026.

Key Figures

Planned shares to be sold: 42,501 shares Planned aggregate market value: 4,223,324.37 10b5-1 sale on 07/24/2026: 49,223 shares +3 more

6 metrics

Planned shares to be sold 42,501 shares Common stock to be sold as of 08/14/2026

Planned aggregate market value 4,223,324.37 Aggregate market value tied to 42,501 shares

10b5-1 sale on 07/24/2026 49,223 shares Common shares sold by the trust under 10b5-1

10b5-1 sale on 06/11/2026 57,898 shares Common shares sold by the trust under 10b5-1

10b5-1 sale on 05/20/2026 67,422 shares Common shares sold by the trust under 10b5-1

Original founders shares date 10/04/2018 Date founders shares were acquired from issuer

Key Terms

10b5-1 Sales, Founders Shares, Executive Financial Services

3 terms

10b5-1 Sales financial

"10b5-1 Sales for BAIJU PRAFULKUMAR BHATT LIVING TRUST 85 Willow Road"

10b5-1 sales are pre-arranged stock-trading plans that let company insiders automatically buy or sell shares according to a fixed schedule or formula, even if they later learn confidential information. Think of it as setting up an automatic thermostat for trades: it creates a clear, documented path that can protect insiders from insider-trading accusations and gives investors a signal about predictable insider activity—though it can also simply be a way for insiders to diversify or raise cash.

Founders Shares financial

"Common | 10/04/2018 | Founders Shares | Issuer"

Founders shares are a special block of a company’s stock originally given to the people who started the business; they often carry extra voting power or favorable terms compared with regular shares. For investors, these shares matter because they concentrate control and influence how future funding, ownership dilution, and decision-making will play out—think of founders shares as the steering wheel that can steer a company’s direction even as more passengers (investors) climb aboard.

Executive Financial Services financial

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

FAQ

What stock sale is disclosed for HOOD in this Form 144-style notice?

The filing discloses a plan to sell up to 42,501 common shares of HOOD through Morgan Stanley Smith Barney LLC Executive Financial Services on NASDAQ as of 08/14/2026, subject to applicable selling conditions and regulations.

Who is the selling security holder related to HOOD in this filing?

The selling security holder is the BAIJU PRAFULKUMAR BHATT LIVING TRUST, listed with an address in Menlo Park, California. The trust is associated with prior Rule 10b5-1 sales of HOOD common shares detailed in the notice.

How many HOOD shares were sold under 10b5-1 plans in the last 3 months?

The notice lists Rule 10b5-1 sales of 49,223 HOOD shares on 07/24/2026, 57,898 shares on 06/11/2026, and 67,422 shares on 05/20/2026, each by the BAIJU PRAFULKUMAR BHATT LIVING TRUST.

What type of HOOD shares are involved in the planned sale and prior sales?

All transactions involve common shares of HOOD. The securities to be sold are described as common stock, including a portion identified as Founders Shares originally acquired from the issuer on 10/04/2018.

Which broker is handling the planned HOOD share sale?

The planned sale of up to 42,501 HOOD common shares is listed through Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004, with trading on NASDAQ.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/14/2026 - 04:38 PM Accepted by SEC EDGAR 08/14/2026 - 04:32 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	42501	4223324.37	790630234	08/14/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	10/04/2018	Founders Shares	Issuer			42501	10/04/2018	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for BAIJU PRAFULKUMAR BHATT LIVING TRUST 85 Willow Road Menlo Park CA 94025	Common	07/24/2026	49223	4680526.47
10b5-1 Sales for BAIJU PRAFULKUMAR BHATT LIVING TRUST 85 Willow Road Menlo Park CA 94025	Common	06/11/2026	57898	5189554.06
10b5-1 Sales for BAIJU PRAFULKUMAR BHATT LIVING TRUST 85 Willow Road Menlo Park CA 94025	Common	05/20/2026	67422	5082041.13

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)