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| CIK | 1788882 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Root, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| August 6, 2025 |
ployee Director Compensation Policy adopted May 1, 2025 Exhibit 10.4 Root, Inc. Non-Employee Director Compensation Policy Adopted May 1, 2025 Each member of the Board of Directors (the “Board”) of Root, Inc. (the “Company”) who is not an employee of the Company (each, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Director Compensation Policy”) for his or her Board service, su |
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| August 6, 2025 |
Gross accident period loss ratio Q2 2025 Shareholder Letter Letter to Shareholders: Q2 2025 Key quarterly metrics Dear Shareholders Dear Root Shareholders, The second quarter was another strong quarter for Root. |
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| August 6, 2025 |
Exhibit 10.2 ROOT, INC. 2020 EQUITY INCENTIVE PLAN Amended and Restated AWARD AGREEMENT (Performance-Based RSU AWARD) As reflected by your Restricted Stock Unit Grant Notice (“Grant Notice”), Root, Inc. (the “Company”) has granted you a RSU Award under its 2020 Equity Incentive Plan (the “Plan”) for the number of performance-based restricted stock units as indicated in your Grant Notice (the “RSU |
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| August 6, 2025 |
Exhibit 10.1 ROOT, INC. 2020 EQUITY INCENTIVE PLAN AMENDED AND RESTATED AWARD AGREEMENT (Performance-Based RSU AWARD) As reflected by your Restricted Stock Unit Grant Notice (“Grant Notice”), Root, Inc. (the “Company”) has granted you a RSU Award under its 2020 Equity Incentive Plan (the “Plan”) for the number of performance-based restricted stock units as indicated in your Grant Notice (the “RSU |
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| August 6, 2025 |
Policy for the Acceleration of Equity Awards in the Event of Death Exhibit 10.3 Policy for the Acceleration of Equity Awards in the Event of Death Effective April 30, 2025 Whereas, the Company has adopted and maintains the 2020 Equity Incentive Plan (the “2020 Plan”) and preceding 2015 Equity Incentive Plan (the “2015 Plan”) for the purposes of providing equity incentives to “Participants” (as such term is defined in the 2020 Plan and 2015 Plan, as applicable); W |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2025 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| June 5, 2025 |
As filed with the Securities and Exchange Commission on June 5, 2025 As filed with the Securities and Exchange Commission on June 5, 2025 Registration No. |
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| June 5, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Root, Inc (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2020 Equity Incentive Plan Class A Common Stock, par value $0. |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 7, 2025 |
Form of Root, Inc. Non-Employee Director Compensation Policy Exhibit 10.2 Root, Inc. Non-Employee Director Compensation Policy Restricted Stock Unit Deferral Election Form For Eligible Directors Please complete and return this Restricted Stock Unit Deferral Election Form (the “Election Form”), as described below, [for existing non-employee directors making elections for 2024: within 30 days after the Effective Date of the Policy] [for existing non-employee |
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| May 7, 2025 |
CONDENSED CONSOLIDATED BALANCE SHEETS - UNAUDITED Q1 2025 Shareholder Letter Letter to Shareholders: Q1 2025 Key quarterly metrics Dear Shareholders The first quarter of 2025 was another great quarter for Root. |
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| May 7, 2025 |
Root, Inc. Non-Employee Director Compensation Policy Exhibit 10.1 Root, Inc. Non-Employee Director Compensation Policy Adopted February 20, 2025 Each member of the Board of Directors (the “Board”) of Root, Inc. (the “Company”) who is not an employee of the Company (each, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Director Compensation Policy”) for his or her Board servi |
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| May 7, 2025 |
2025 Short-Term Incentive Plan Exhibit 10.3 2025 Root Short-Term Incentive Plan This 2025 Short-Term Incentive Plan (the “Plan”) of Root, Inc. (the “Company”) covers the period from January 1, 2025 through December 31, 2025. The purpose of the Plan is to promote the success of the Company by rewarding eligible employees for outstanding business results and to motivate employees in a high-performance culture. For 2025, incentive |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39658 ROOT, INC. (Exact |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2025 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 26, 2025 |
Executive Employment Agreement with Jon Allison Exhibit 10.34 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made as of November 8, 2021, (the “Effective Date”), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the “Company”), and Jon Allison (“Executive”). The Company and Executi |
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| February 26, 2025 |
2024 Short-Term Incentive Plan Exhibit 10.28 2024 Root Short-Term Incentive Plan This 2024 Short-Term Incentive Plan (the “Plan”) of Root, Inc. (the “Company”) covers the period from January 1, 2024 through December 31, 2024. The purpose of the Plan is to promote the success of the Company by rewarding employees for outstanding business results, as well as motivating employees in a high-performance culture. For 2024, incentive |
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| February 26, 2025 |
Gross accident period loss ratio Q4 2024 Shareholder Letter Dear Root Shareholders 2024 was a landmark year for Root. |
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| February 26, 2025 |
Root, Inc. Compensation Recovery Policy Exhibit 97.1 Root, Inc. Compensation Recovery Policy Originally Effective October 23, 2023 (the “Original Effective Date”) As Amended October 22, 2024 1.Purpose. The purpose of this Compensation Recovery Policy (this “Policy”) is to describe the circumstances under which Root, Inc. (the “Company”) is required to recover certain compensation paid to certain employees in certain circumstances, inclu |
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| February 26, 2025 |
Exhibit 19.1 Root, Inc. AMENDED AND RESTATED Insider Trading Policy Approved by the Board of Directors October 23, 2024 Policy Principles 1.Personnel of Root, Inc. and its subsidiaries (together, “Root”) are responsible for understanding the obligations that come with having access to material nonpublic information and wanting to transact in Root securities. 2.Root personnel who are aware of mater |
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| February 26, 2025 |
List of subsidiaries of Root, Inc. Exhibit 21.1 Subsidiaries of Root, Inc. Name Jurisdiction Caret Holdings, Inc. Delaware Root Enterprise, LLC Delaware Root Insurance Agency, LLC Ohio Root Insurance Company Ohio Root Lone Star Insurance Agency, Inc. Texas Root Property & Casualty Insurance Company Ohio Root Reinsurance Company, Ltd. Cayman Islands Root Scout, LLC Delaware Root Florida Insurance Company Florida |
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| November 15, 2024 |
ROOT, INC. PERFORMANCE-BASED RSU AWARD GRANT NOTICE (2020 EQUITY INCENTIVE PLAN) Root, Inc. (the “Company”) has awarded to you (the “Participant”) the number of restricted stock units specified and on the terms set forth below in consideration of your services (the “RSU Award”). Your RSU Award is subject to all of the terms and conditions as set forth herein and in the Company’s 2020 Equity Incent |
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| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| November 15, 2024 |
ROOT, INC. PERFORMANCE-BASED RSU AWARD GRANT NOTICE (2020 EQUITY INCENTIVE PLAN) Root, Inc. (the “Company”) has awarded to you (the “Participant”) the number of restricted stock units specified and on the terms set forth below in consideration of your services (the “RSU Award”). Your RSU Award is subject to all of the terms and conditions as set forth herein and in the Company’s 2020 Equity Incent |
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| November 14, 2024 |
EX-99.1 2 tm2427620d7ex99-1.htm EXHIBIT 99.1 CUSIP No. 77664L 10 8 13G Exhibit 99.1 AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of common stock of Root, Inc. Dated: November |
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| November 14, 2024 |
ROOT / Root, Inc. / Redpoint Omega II, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm2427620d7sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) * Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L 20 7 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the ru |
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| November 14, 2024 |
ROOT / Root, Inc. / Bullfrog Capital GP, Ltd. - SC 13G/A Passive Investment SC 13G/A 1 tm2428285d2sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664 |
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| October 30, 2024 |
First Amendment to Form of Common Stock Purchase Warrant (Tranche 1), dated October 29, 2024 Exhibit 4.5 AMENDMENT NO. 1 TO COMMON STOCK PURCHASE WARRANT OF ROOT, INC. This AMENDMENT NO. 1 TO COMMON STOCK PURCHASE WARRANT OF ROOT, INC., a Delaware corporation (the “Company”), dated as of October 29, 2024 (this “Amendment”) is executed on behalf of the Company and the Holder (as identified on the signature pages hereto) pursuant to Section 6(p) of the Warrant (as defined below). Capitalize |
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| October 30, 2024 |
Amended and restated Board Observation Side Letter Root, Inc. 80 E. Rich Street, Suite 500 Columbus, OH 43215 October 29, 2024 Ladies and Gentlemen: Reference is made to (i) that certain Term Loan Agreement, originally dated as of January 26, 2022 (as amended by First Amendment to Term Loan Credit Agreement dated as of September 17, 2024 and Limited Consent and Second Amendment to Term Loan Credit Agreement dated as of the date hereof, and as furt |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| October 30, 2024 |
Root Announces Successful Refinancing of Term Loan Facility with BlackRock Improved Terms Enhance Company's Financial Flexibility and Improve Cost of Capital COLUMBUS, Ohio, October 30, 2024 (GLOBE NEWSWIRE) — Root, Inc. |
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| October 30, 2024 |
LIMITED CONSENT AND SECOND AMENDMENT to TERM LOAN CREDIT AGREEMENT This LIMITED CONSENT AND SECOND AMENDMENT TO TERM LOAN CREDIT AGREEMENT (this “Amendment”), dated as of October 29, 2024 is made by and among CARET HOLDINGS, INC. |
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| October 30, 2024 |
Exhibit 10.1 Executed Version FIRST AMENDMENT to TERM LOAN CREDIT AGREEMENT This FIRST AMENDMENT (this "Amendment"), dated as of September 17, 2024 is made by and among CARET HOLDINGS, INC., a Delaware corporation (the "Borrower"), the other Loan Parties party hereto, the Lenders party hereto (the "Required Lenders") and Acquiom Agency Services LLC, as Administrative Agent (the "Administrative Age |
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| October 30, 2024 |
Gross accident period loss ratio Q3 2024 Shareholder Letter Dear Shareholders For the first time in company history, Root reached net income profitability. |
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| August 9, 2024 |
ROOT / Root, Inc. / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 300 E. Rio Salado Parkway Tempe, Arizona 85281 (602 |
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| August 7, 2024 |
2024 Short-Term Incentive Plan 2024 Root Short-Term Incentive Plan This 2024 Short-Term Incentive Plan (the “Plan”) of Root, Inc. |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 7, 2024 |
Gross accident period loss ratio Q2 2024 Shareholder Letter Dear Shareholders Our team delivered another strong quarter in Q2, as we again demonstrated our ability to drive toward sustained profitability. |
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| June 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 29, 2024 |
As filed with the Securities and Exchange Commission on May 29, 2024 As filed with the Securities and Exchange Commission on May 29, 2024 Registration No. |
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| May 29, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Root, Inc (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2020 Equity Incentive Plan Class A Common Stock, par value $0. |
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| May 7, 2024 |
ROOT / Root, Inc. / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 300 E. Rio Salado Parkway Tempe, Arizona 85281 (602 |
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| April 30, 2024 |
Gross accident period loss ratio Q1 2024 Shareholder Letter Dear Shareholders We’re pleased to share that our strong momentum continued in the first quarter of 2024, delivering operating income for the first time in the company’s history while materially growing our business. |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| April 30, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 3, 2024 |
investorresourcedeck2024 Meet Root 2024 Company Overview Confidential | Do Not Distribute Forward-looking statements This presentation contains forward-looking statements relating to, among other things, the future performance of Root and its consolidated subsidiaries that are based on Root’s current expectations, forecasts, and assumptions, and involve risks and uncertainties. |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 3, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| March 20, 2024 |
ROOT / Root, Inc. / Schusterman Interests, LLC - SCHEDULE 13G/A, AMENDMENT #1 Passive Investment SC 13G/A 1 s72492074.htm SCHEDULE 13G/A, AMENDMENT #1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L207 (CUSIP Number) March 19, 2024 (Date of Event which Requires Filing of this State |
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| February 21, 2024 |
Root, Inc. Compensation Recovery Policy EXHIBIT 97.1 Root, Inc. Compensation Recovery Policy Effective October 23, 2023 1.Purpose. The purpose of this Compensation Recovery Policy (this “Policy”) is to describe the circumstances under which Root, Inc. (the “Company”) is required to recover certain compensation paid to certain employees. Any references in compensation plans, agreements, equity awards, or other policies to the Company’s “ |
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| February 21, 2024 |
List of subsidiaries of Root, Inc. Exhibit 21.1 Subsidiaries of Root, Inc. Name Jurisdiction Caret Holdings, Inc. Delaware Root Enterprise, LLC Delaware Root Insurance Agency, LLC Ohio Root Insurance Company Ohio Root Lone Star Insurance Agency, Inc. Texas Root Property & Casualty Insurance Company Ohio Root Reinsurance Company, Ltd. Cayman Islands Root Scout, LLC Delaware |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39658 ROOT, INC. (Exact |
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| February 21, 2024 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Root, Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our Class A common stock, $0.0001 par value per share (“Class A Common Stock”). References herein to the terms “we,” “our” and “us” |
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| February 21, 2024 |
Gross accident period loss ratio Q4 2023 Shareholder Letter Dear Root Shareholders 2023 was a transformative year for Root. |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2024 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 14, 2024 |
ROOT / Root, Inc. / SVB FINANCIAL GROUP - SC 13G/A Passive Investment SC 13G/A 1 d789021dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check |
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| February 14, 2024 |
ROOT / Root, Inc. / Timm Alexander E. - SC 13G/A Passive Investment SC 13G/A 1 timm13ga-2023.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Root, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77664L207 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 14, 2024 |
ROOT / Root, Inc. / DRIVE CAPITAL OVERDRIVE FUND I, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm246208d1sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2)* Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L207 (CUSIP Number) December 3 |
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| February 14, 2024 |
ROOT / Root, Inc. / SVB Capital Management, LLC - SC 13G Passive Investment SC 13G 1 d706756dsc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the app |
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| November 15, 2023 |
ROOT / Root Inc - Class A / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 300 E. Rio Salado Parkway Tempe, Arizona 85281 (602 |
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| November 15, 2023 |
ROOT / Root Inc - Class A / Silver Lake Group, L.L.C. - SC 13D/A Activist Investment SC 13D/A 1 d718579dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 77664L207 (CUSIP Number) Andrew J. Schader, Esq. Silver Lake 55 Hudson Yards 550 West 34th Street, 40th Fl |
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| November 1, 2023 |
Performance-Based RSU Award Grant Notice Exhibit 10.2 ROOT, INC. PERFORMANCE-BASED RSU AWARD GRANT NOTICE (2020 EQUITY INCENTIVE PLAN) Root, Inc. (the “Company”) has awarded to you (the “Participant”) the number of restricted stock units specified and on the terms set forth below in consideration of your services (the “RSU Award”). Your RSU Award is subject to all of the terms and conditions as set forth herein and in the Company’s 2020 |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, |
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| November 1, 2023 |
Gross accident period loss ratio Q3 2023 Shareholder Letter Letter to Shareholders: Q3 2023 Key quarterly metrics: 2 Letter to Shareholders: Q3 2023 Dear Root Shareholders: We delivered a strong quarter, more than doubling our new writings quarter over quarter while maintaining our superior loss ratio. |
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| October 26, 2023 |
Root, Inc. Non-Employee Director Compensation Policy adopted October 23, 2023 Exhibit 10.1 Root, Inc. Non-Employee Director Compensation Policy Adopted October 23, 2023, with effect as of August 16, 2023 Each member of the Board of Directors (the “Board”) of Root, Inc. (the “Company”) who is not an employee of the Company (each, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Director Compensation P |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| September 1, 2023 |
ROOT / Root Inc - Class A / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 300 E. Rio Salado Parkway Tempe, Arizona 85281 (602 |
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| August 11, 2023 |
Executive Retention Agreement between Matt Bonakdarpour and Root, Inc. dated August 9, 2023 Exhibit 10.1 ROOT, INC. EXECUTIVE RETENTION AGREEMENT Dear Matt: The Compensation Committee recently approved a cash payment to you in the amount of $750,000.00. You will be required to repay all or a portion of the cash payment should you resign without Good Reason (as defined below) or be terminated for Cause (as defined below) on or prior to August 9, 2025. Accordingly, this agreement (this “Ag |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 7, 2023 |
ROOT / Root Inc - Class A / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 300 E. Rio Salado Parkway Tempe, Arizona 85281 (602 |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 2, 2023 |
Non-Employee Director Compensation Policy Exhibit 10.1 Root, Inc. Non-Employee Director Compensation Policy Adopted: June 5, 2023 Each member of the Board of Directors (the “Board”) of Root, Inc. (the “Company”) who is not an employee of the Company (each, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Director Compensation Policy”) for his or her Board service, |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| August 2, 2023 |
Gross accident period loss ratio Q2 2023 Shareholder Letter Letter to Shareholders: Q2 2023 Key quarterly metrics: 2 Letter to Shareholders: Q2 2023 Dear Root Shareholders: In Q2 2023, we saw continued momentum in our bottom line and returned to growing our customer base. |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 30, 2023 |
As filed with the Securities and Exchange Commission on May 30, 2023 As filed with the Securities and Exchange Commission on May 30, 2023 Registration No. |
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| May 30, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Root, Inc (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2020 Equity Incentive Plan Class A Common Stock, par value $0. |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 15, 2023 |
Root Promotes Seasoned Leaders from Within and Boosts Growth Efforts with New Business Development Leader Megan Binkley is promoted to Chief Financial Officer, Jon Allison is promoted to Chief Administrative Officer, and former president of ForeverCar, Jason Shapiro, joins the Root team to lead Business Development. |
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| May 3, 2023 |
Retention Bonus Agreement between Megan Binkley and Root, Inc. Exhibit 10.3 November 16, 2022 RE: Retention Bonus Agreement Dear Megan, We are pleased to offer you this Retention Bonus Agreement (“Agreement”) to encourage your continued employment with Root Inc. or one of its subsidiaries (collectively, “the Company”). This Agreement does not modify the terms of your employment, or any agreement relating to confidentiality, trade secrets, and non-competition/ |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| May 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 3, 2023 |
Gross accident period loss ratio Q1 2023 Shareholder Letter Letter to Shareholders: Q1 2023 Key quarterly metrics: 2 Letter to Shareholders: Q1 2023 Dear Root Shareholders: In Q1 2023, we continued to drive the company toward profitability while accelerating new writings: •Recognized a 69% gross accident period loss ratio, a 13 point improvement year-over-year. |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| March 1, 2023 |
Executive Employment Agreement with Megan Binkley EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made as of August 19, 2022 (the “Effective Date”), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the “Company”), and Megan Binkley (“Executive”). |
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| February 22, 2023 |
Gross accident period loss ratio Q4 2022 Shareholder Letter Letter to Shareholders: FY 2022 Key annual metrics 2 Letter to Shareholders: FY 2022 Dear Root Shareholders In 2022, we made substantial progress on our most important objectives: •Finished 2022 with a Q4 gross accident period loss ratio of 77%, down from 94% in Q4 2021, by leveraging our technology platforms to identify and rapidly respond to rising inflation, while the auto insurance industry has been experiencing an overall increase. |
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| February 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2023 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 22, 2023 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Root, Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our Class A common stock, $0.0001 par value per share (“Class A Common Stock”). References herein to the terms “we,” “our” and “us” |
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| February 22, 2023 |
Amended and Restated Bylaws of Root, Inc. Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF ROOT, INC. (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1.Registered Office. The registered office of the corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation. Section 2.Other Offices. The corporation shall also have and maintain an office or principal place of business at such place as may be fixed by the B |
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| February 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39658 ROOT, INC. (Exact |
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| February 22, 2023 |
Separation and Transition Agreement dated February 20, 2023, between Daniel Rosenthal and Root, Inc. Exhibit 10.34 Separation and Transition Agreement This Separation and Transition Agreement (the “Transition Agreement”) is made and entered into by and between Root, Inc. (“Root” or the “Company”) and Daniel Rosenthal, an individual (“Executive”). Recitals WHEREAS, Executive has been employed by the Company on an at-will basis as Chief Financial Officer (“CFO”) and Chief Revenue & Operations Offic |
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| February 14, 2023 |
ROOT / Root, Inc. Class A / Redpoint Omega II, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm236543d1sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) * Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L 10 8 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule |
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| February 14, 2023 |
US77664L2079 / Root, Inc., Class A / Timm Alexander E. - SC 13G/A Passive Investment SC 13G/A 1 timm13ga-2022.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Root, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77664L207 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 14, 2023 |
ROOT / Root, Inc. Class A / HILLHOUSE CAPITAL ADVISORS, LTD. - ROOT, INC. Passive Investment SC 13G/A 1 p23-0212sc13ga.htm ROOT, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropr |
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| February 14, 2023 |
US77664L2079 / Root, Inc., Class A / Ribbit Capital IV, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L207 (CUSIP Number) December 31, 2022 (Dat |
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| February 10, 2023 |
US77664L2079 / Root, Inc., Class A / SVB FINANCIAL GROUP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L 207 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 9, 2023 |
US77664L2079 / Root, Inc., Class A / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Root Inc./OH Class A Title of Class of Securities: Common Stock CUSIP Number: 77664L207 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| December 30, 2022 |
Material Impairments, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| November 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| November 9, 2022 |
First Amendment to 2020 Employee Stock Purchase Plan Exhibit 10.1 FIRST AMENDMENT TO 2020 EMPLOYEE STOCK PURCHASE PLAN WHEREAS, the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) has adopted the 2020 Employee Stock Purchase Plan (the ?2020 ESPP?); and WHEREAS, the Board adopted the 2020 ESPP, effective as of October 18, 2020; and WHEREAS, on June 7, 2022, the Company?s stockholders approved a reverse stock split of the Company?s comm |
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| November 9, 2022 |
Gross accident period loss ratio Q3 2022 Shareholder Letter Letter to Shareholders: Q3 2022 Key quarterly metrics: 2 Letter to Shareholders: Q3 2022 Dear Root Shareholders: Our third quarter shows clear progress on our strategy: accelerating new writings growth on our embedded platform while materially reducing our loss ratio year-over-year, bucking industry trend. |
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| November 9, 2022 |
First Amendment to 2020 Equity Incentive Plan Exhibit 10.2 FIRST AMENDMENT TO 2020 EQUITY INCENTIVE PLAN WHEREAS, the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) has adopted the 2020 Equity Incentive Plan (the ?2020 Plan?) for the benefit of the 2020 Plan participants and to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions are important to the success of the Compa |
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| November 9, 2022 |
First Amendment to 2015 Amended and Restated Equity Incentive Plan Exhibit 10.3 FIRST AMENDMENT TO AMENDED AND RESTATED 2015 EQUITY INCENTIVE PLAN WHEREAS, the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) has adopted the Amended and Restated 2015 Equity Incentive Plan (the ?2015 Plan?) for the benefit of the 2015 Plan participants and to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, |
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| September 6, 2022 |
ROOT / Root, Inc. Class A / CARVANA GROUP, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 1930 W. Rio Salado Parkway Tempe, Arizona 85281 (48 |
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| August 24, 2022 |
ROOT / Root, Inc. Class A / CARVANA GROUP, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 1930 W. Rio Salado Parkway Tempe, Arizona |
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| August 15, 2022 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation of Root, Inc. Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ROOT, INC. Root, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the ?Company?), hereby certifies as follows: FIRST: That the Board of Directors of the Company has duly adopted resolutions (i) authorizing the Company to execute and file with the Secret |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 8, 2022 |
First Amendment to Carvana Commercial Agreement, dated as of May 13, 2022 EX-10.3 3 a103firstamendmenttocommer.htm EX-10.3 Exhibit 10.3 FIRST AMENDMENT TO THE PARTIES’ COMMERCIAL AGREEMENT This First Amendment to the Commercial Agreement (“Amendment”) is entered into and effective this 13th day of May, 2022 (the “Effective Date”), by and between Caret Holdings, Inc. (“Company”), Carvana, LLC (“Dealer”), Carvana Insurance Services, LLC (“CIS”), and Carvana Group, LLC (“P |
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| August 8, 2022 |
Gross accident period loss ratio Q2 2022 Shareholder Letter Letter to Shareholders: Q2 2022 Key quarterly metrics: 2 Letter to Shareholders: Q2 2022 Dear Root Shareholders: The last 12 months have been one of the most difficult periods for auto insurers in decades. |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 8, 2022 |
Executive Employment Agreement with Matt Bonakdarpour Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this ?Agreement?) is made as of December 2, 2021, (the ?Effective Date?), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the ?Company?), and Matt Bonakdarpour (?Executive?). The Company and Ex |
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| July 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| May 4, 2022 |
Form of Root, Inc. Cash Incentive Agreement Exhibit 10.9 INCENTIVE BONUS AGREEMENT This Cash Incentive Agreement (the ?Agreement?), dated as of April 1, 2022, is made and entered into by and between Root Inc. (the ?Company?) and (the ?Employee?) (collectively, the ?Parties?). WHEREAS, the Employee has chosen, in connection with the Company?s 2022 Long-Term Incentive Program (the ?Program?), to receive a portion of the Employee?s 2022 long-t |
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| May 4, 2022 |
Exhibit 10.1 Execution Version TERM LOAN AGREEMENT dated as of January 26, 2022 by and among CARET HOLDINGS, INC., as Borrower ROOT, INC., as Holdings THE OTHER LOAN PARTIES FROM TIME TO TIME PARTY HERETO, THE LENDERS FROM TIME TO TIME PARTY HERETO and ACQUIOM AGENCY SERVICES LLC, as Administrative Agent TABLE OF CONTENTS ARTICLE I DEFINITIONS; CONSTRUCTION Page Section 1.1. Section 1.2. Section 1 |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 28, 2022 |
DEFA14A 1 definitiveadditionalproxym.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of t |
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| April 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 27, 2022 |
Gross accident period loss ratio Seasoned state loss ratio EX-99.1 2 q12022shareholderletter.htm EX-99.1 Q1 2022 Shareholder Letter Letter to Shareholders: Q1 2022 Key quarterly metrics: 2 Letter to Shareholders: Q1 2022 Dear Shareholders: We took aggressive actions in the first quarter of 2022 to reposition and restructure the company so we can continue to weather one of the most difficult times we’ve seen as a young company and in the personal auto indu |
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| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 13, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Root, Inc (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2020 Equity Incentive Plan Class A Common Stock, par value $0. |
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| April 13, 2022 |
As filed with the Securities and Exchange Commission on April 13, 2022 As filed with the Securities and Exchange Commission on April 13, 2022 Registration No. |
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| March 23, 2022 |
Root Adds Insurance Strength to Leadership Team with New CFO Rob Bateman will join the insurtech as CFO as Dan Rosenthal fully transitions into his role as Chief Revenue and Operating Officer COLUMBUS, Ohio, March 22, 2022, (GLOBE NEWSWIRE) ? Root, Inc. |
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| March 23, 2022 |
Executive Employment Agreement with Robert Bateman Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this ?Agreement?) is made as of April 11, 2022, (the ?Effective Date?), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the ?Company?), and Robert Bateman (?Executive?). The Company and Executi |
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| March 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 25, 2022 |
Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment #1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39658 ROOT, INC. (Exact |
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| February 23, 2022 |
Root Inc, Non-Employee Director Compensation Policy adopted February 17, 2022 Exhibit 10.4 Root, Inc. Non-Employee Director Compensation Policy Adopted: February 17, 2022 Each member of the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) who is not an employee of the Company (each, a ?Non-Employee Director?) will receive the compensation described in this Non-Employee Director Compensation Policy (this ?Director Compensation Policy?) for his or her Board serv |
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| February 23, 2022 |
Exhibit 10.5 ROOT, INC. AMENDMENT TO THE FIFTH AMENDED AND RESTATED INVESTORS? RIGHTS AGREEMENT This Amendment to the Fifth Amended and Restated Investors? Rights Agreement, as amended (this ?Amendment?), is made as of October 28, 2020 by and between Root, Inc., a Delaware corporation (the ?Company?) and the Investors set forth on the signature pages hereto. Capitalized terms not herein defined sh |
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| February 23, 2022 |
Root, Inc. Executive Compensation Agreement Exhibit 10.30 ROOT, INC. EXECUTIVE COMPENSATION LETTER AGREEMENT Dear Dan: The Compensation Committee recently approved a cash payment to you in the amount of $4,981,250.00 in light of your promotion to Chief Revenue and Operating Officer, effective September 17, 2021, while simultaneously continuing as the Chief Financial Officer, and your successful closing of the Carvana transaction in October |
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| February 23, 2022 |
Q4 2021 Shareholder Letter Letter to Shareholders: FY 2021 Key annual metrics: 2 Letter to Shareholders: FY 2021 Dear Shareholders: 2021 was a challenging year for insurtechs and auto insurer capital market investors as inflationary pressures led to rapidly accelerating loss trends. |
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| February 23, 2022 |
Form of Executive Retention Award Exhibit 10.3 [DATE] Dear , Congratulations! Because your contribution to Root?s future success is critical, you are being offered a one-time retention incentive. The elements of this incentive are as follows: ?a one-time cash payment in the amount of $ (less applicable withholdings and standard deductions) if you are employed with Root, in good standing, on December 1, 2022, to be paid in a lump s |
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| February 23, 2022 |
Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this ?Agreement?) is made as of December 16, 2021, (the ?Effective Date?), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the ?Company?), and Hemal Shah (?Executive?). The Company and Executiv |
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| February 23, 2022 |
Form of Director and Officer Indemnity Agreement Exhibit 10.22 INDEMNIFICATION AGREEMENT THIS INDEMNIFCATION AGREEMENT (the ?Agreement?) is made and entered into as of [Effective Date] between Root, Inc., a Delaware corporation (the ?Company?), and [Name of Director] (?Indemnitee?). WITNESSETH THAT: WHEREAS, highly competent persons have become more reluctant to serve corporations as directors or in other capacities unless they are provided with |
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| February 23, 2022 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Root, Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, or the Exchange Act: our Class A common stock, $0.0001 par value per share. References herein to the terms ?we,? ?our? and ?us? refer to Root, Inc. and i |
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| February 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 23, 2022 |
List of subsidiaries of Root, Inc. Exhibit 21.1 Subsidiaries of Root, Inc. Name Jurisdiction Caret Holdings, Inc. Delaware Root Enterprise, LLC Delaware Root Insurance Agency, LLC Ohio Root Insurance Company Ohio Root Lone Star Insurance Agency, Inc. Texas Root Property & Casualty Insurance Company Delaware Root Reinsurance Company, Ltd. Cayman Islands Root Scout, LLC Delaware |
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| February 23, 2022 |
Root, Inc. Non-Employee Director Compensation Policy adopted February 12, 2021 EXHIBIT 10.6 Root, Inc. Non-Employee Director Compensation Policy Adopted: February 12, 2021 Each member of the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) who is not an employee of the Company (each, a ?Non-Employee Director?) will receive the compensation described in this Non-Employee Director Compensation Policy (this ?Director Compensation Policy?) for his or her Board serv |
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| February 23, 2022 |
Exhibit 10.27 FIRST AMENDMENT TO LETTER AGREEMENT THIS FIRST AMENDMENT TO LETTER AGREEMENT is dated as of February 23, 2022 (this Amendment), by and between Root, Inc. (the ?Company?) and Daniel Rosenthal. WITNESSETH: WHEREAS, the Company and Mr. Rosenthal are parties to the certain letter agreement dated as of February 24, 2021 (the ?Agreement?); and WHEREAS, subject to the terms and conditions s |
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| February 23, 2022 |
Exhibit 10.26 FIRST AMENDMENT TO LETTER AGREEMENT THIS FIRST AMENDMENT TO LETTER AGREEMENT is dated as of February 22, 2022 (this Amendment), by and between Root, Inc. (the ?Company?) and Alexander Timm. WITNESSETH: WHEREAS, the Company and Mr. Timm are parties to the certain letter agreement dated as of January 4, 2021 (the ?Agreement?); and WHEREAS, subject to the terms and conditions set forth |
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| February 15, 2022 |
ROOT / Root, Inc. Class A / DRIVE CAPITAL OVERDRIVE FUND I, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Fil |
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| February 14, 2022 |
ROOT / Root, Inc. Class A / Timm Alexander E. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
ROOT / Root, Inc. Class A / HILLHOUSE CAPITAL ADVISORS, LTD. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant t |
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| February 14, 2022 |
ROOT / Root, Inc. Class A / Manges Daniel - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
ROOT / Root, Inc. Class A / STAD MARC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| February 14, 2022 |
ROOT / Root, Inc. Class A / ANGLEPOINT ASSET MANAGEMENT, LTD. - ROOT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant t |
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| February 11, 2022 |
ROOT / Root, Inc. Class A / Redpoint Omega II, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2022 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Class A Common Stock, par value $0.0001 per share, of Root, Inc. and further agree to the filing of this agreement as an Exhibit thereto. |
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| February 11, 2022 |
EXHIBIT 99.2 ITEM 7 INFORMATION The securities being reported on herein by SVB Financial Group, as a parent holding company, are owned by Capital Partners III, L.P. and Venture Overage Fund, L.P., Delaware limited partnerships, and may be deemed to be beneficially owned, by SVB Financial Group. SVB Financial Group is the managing member of SVB Capital Partners III, LLC, a Delaware limited liabilit |
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| February 11, 2022 |
ROOT / Root, Inc. Class A / SVB FINANCIAL GROUP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L 108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 10, 2022 |
ROOT / Root, Inc. Class A / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv01809-rootincohclassa.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Root Inc./OH Class A Title of Class of Securities: Common Stock CUSIP Number: 77664L108 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to |
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| February 8, 2022 |
ROOT / Root, Inc. Class A / Scale Venture Partners V, L.P. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Root, Inc.. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L108 (CUSIP Number) 12/31/2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| February 8, 2022 |
EXHIBIT A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Root, Inc. |
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| January 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| January 27, 2022 |
Form of Common Stock Purchase Warrant (Tranche 2) Exhibit 4.2 FINAL FORM THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND APPLICABLE STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD |
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| January 27, 2022 |
EX-10.3 6 d295910dex103.htm EX-10.3 Exhibit 10.3 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of January 26, 2022 (the “Effective Date”), is made and entered into by and between Root, Inc., (the “Company”) and the undersigned parties listed on the signature pages hereto under “Holders” (together with any holder(s) of a Warrant (as |
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| January 27, 2022 |
Root Announces Closing of New Term Loan Facility with BlackRock EX-99.1 7 d295910dex991.htm EX-99.1 Exhibit 99.1 Root Announces Closing of New Term Loan Facility with BlackRock COLUMBUS, Ohio, January 26, 2022 (GLOBE NEWSWIRE) — Root, Inc. (NASDAQ: ROOT), the parent company of Root Insurance Company, announced the successful completion of a new term loan facility with BlackRock Financial Management Inc., on behalf of funds and accounts under its management, an |
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| January 27, 2022 |
EX-10.1 4 d295910dex101.htm EX-10.1 Exhibit 10.1 Execution Version TERM LOAN AGREEMENT dated as of January 26, 2022 by and among CARET HOLDINGS, INC., as Borrower ROOT, INC., as Holdings THE OTHER LOAN PARTIES FROM TIME TO TIME PARTY HERETO, THE LENDERS FROM TIME TO TIME PARTY HERETO and ACQUIOM AGENCY SERVICES LLC, as Administrative Agent TABLE OF CONTENTS Page ARTICLE I DEFINITIONS; CONSTRUCTION |
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| January 27, 2022 |
EX-10.2 5 d295910dex102.htm EX-10.2 Exhibit 10.2 ROOT, INC. 80 E. Rich Street, Suite 500 Columbus, OH 43215 January 26, 2022 Ladies and Gentlemen: Reference is made to that certain Term Loan Agreement, dated as of the date hereof (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among Root, Inc., a Delaware corporatio |
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| January 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2022 ROOT, INC. (Exact name of registrant as specified in its charter) Delaware 001-39658 84-2717903 (State or other jurisdiction of incorporation or organization) (Commis |
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| January 27, 2022 |
Form of Common Stock Purchase Warrant (Tranche 1), dated January 26, 2022 EX-4.1 Exhibit 4.1 FINAL FORM THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND APPLICABLE STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE OFFERED O |
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| January 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| January 20, 2022 |
A Letter from Alex Timm, Co-Founder and CEO, Root, Inc. EX-99.1 2 aletterfromalextimmco-foun.htm EX-99.1 A Letter from Alex Timm, Co-Founder and CEO, Root, Inc. Today, at our all-company meeting, I announced an organizational realignment that will drive efficiency and increased focus on Root’s strategic priorities. The most difficult part of this realignment is that we will say goodbye to approximately 330 team members throughout the business. As the p |
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| January 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2022 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| November 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, |
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| November 10, 2021 |
EX-10.5 2 a105root-thirdamendmentexe.htm EX-10.5 Exhibit 10.5 Execution Version THIRD AMENDMENT TO NOTE PURCHASE AGREEMENT THIS THIRD AMENDMENT TO NOTE PURCHASE AGREEMENT is dated as of August 11, 2021 (this “Amendment”), by and among CARET HOLDINGS, INC. (f/k/a Root, Inc.), a Delaware corporation (the “Issuer”), ROOT, INC. (f/k/a Root Stockholdings, Inc.), a Delaware corporation (“Holdings”), eac |
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| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| November 10, 2021 |
EX-99.1 2 rootshareholderletterq3-.htm EX-99.1 Key quarterly metrics: Gross written premium ($M) $119.6 $164.6 $204.6 3Q 2019 3Q 2020 3Q 2021 Gross earned premium ($M) $99.9 $154.4 $189.4 3Q 2019 3Q 2020 3Q 2021 Gross accident period loss ratio 100.3% 79.6% 91.3% 3Q 2019 3Q 2020 3Q 2021 Gross LAE ratio 12.7% 9.9% 10.6% 3Q 2019 3Q 2020 3Q 2021 Gross profit ($M) $(36.5) $0.7 $(16.1) 3Q 2019 3Q 2020 |
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| October 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| October 12, 2021 |
ROOT / Root, Inc. Class A / CARVANA GROUP, LLC - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) * Root, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 77664L108 (CUSIP Number) Ernest Garcia III President, Chief Executive Officer and Chairman 1930 W. Rio Salado Parkway Tempe, Arizona 85281 |
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| October 12, 2021 |
ROOT / Root, Inc. Class A / Schusterman Interests, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) October 6, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| October 12, 2021 |
EX-99.1 Exhibit 1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of Series A Convertible Preferred Stock, par value $0.0001 per share (“Preferred Stock”), of Root, Inc., is being filed, and |
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| October 1, 2021 |
Exhibit 4.1 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND APPLICABLE STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURS |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| October 1, 2021 |
Exhibit 10.3 EXECUTION VERSION FIRST AMENDMENT TO THE INVESTMENT AGREEMENT This FIRST AMENDMENT TO THE INVESTMENT AGREEMENT (this ?Amendment?), dated as of September 29, 2021, is entered into by and between Root, Inc., a Delaware corporation (the ?Company?), and Carvana Group, LLC, a Delaware limited liability company (the ?Purchaser?). The Company and the Purchaser are collectively referred to he |
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| October 1, 2021 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK OF ROOT, INC. pursuant to Section 151 of the General Corporation Law of the State of Delaware Root, Inc., a Delaware corporation (the ?Company?), hereby certifies that: The Amended and Restated Certificate of Incorporation of the Company (the ?Certificate of Incorporation?) confers upon the Board of Directors of the Co |
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| October 1, 2021 |
Commercial Agreement, dated as of October 1, 2021 Exhibit 10.1 COMMERCIAL AGREEMENT THIS COMMERCIAL AGREEMENT (this ?Agreement?) is executed to be effective as of October 1, 2021 (the ?Effective Date?), by and between Caret Holdings, Inc., on behalf of itself, subsidiaries, and affiliates (the ?Company?), Carvana, LLC, an Arizona limited liability Company (?Dealer?), Carvana Insurance Services, LLC, an Arizona limited liability company (?CIS?), a |
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| September 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| September 21, 2021 |
Press release Root, Inc. Announces Organizational Changes to Accelerate Growth of Corporate Initiatives Daniel Rosenthal will take on the role of Chief Revenue and Operating Officer in addition to his responsibilities as Chief Financial Officer COLUMBUS, OH ? Root, Inc. (NASDAQ: ROOT), a leading technology company powering insurance solutions and the parent company of Root Insurance, today announc |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 12, 2021 |
Form of Root, Inc. 2020 Equity Incentive Plan Stock Option Grant Notice and Option Agreement Exhibit 10.1 Root, Inc. Stock Option Grant Notice (2020 Equity Incentive Plan) Root, Inc. (the ?Company?), pursuant to its 2020 Equity Incentive Plan (the ?Plan?), has granted to you (?Optionholder?) an option to purchase the number of shares of the Common Stock set forth below (the ?Option?). Your Option is subject to all of the terms and conditions as set forth herein and in the Plan and the Sto |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| August 12, 2021 |
Investment Agreement, dated as of August 11, 2021, by and between Root, Inc. and Carvana Group, LLC Exhibit 10.1 EXECUTION VERSION INVESTMENT AGREEMENT between ROOT, INC. as the Company, and CARVANA GROUP, LLC as the Purchaser, Dated as of August 11, 2021 TABLE OF CONTENTS 1. INVESTMENT 2 2. CLOSING 2 2.1 Closing Date 2 2.2 Issuance of Securities 2 2.3 Additional Rights 2 2.4 Payment of Purchase Price 3 2.5 Closing Actions and Deliveries 3 3. CONDITIONS TO CLOSING 3 3.1 Conditions to the Obligat |
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| August 12, 2021 |
Exhibit 99.1 Carvana and Root, Inc. Exclusively Partner to Develop Industry-First Integrated Auto Insurance Solutions for Carvana Customers ? Carvana to invest approximately $126 million in leading insurtech Root, Inc. PHOENIX and COLUMBUS, August 11, 2021 ? Carvana (NYSE: CVNA), the leading e-commerce platform for buying and selling used cars, and Root, Inc. (NASDAQ: ROOT), the parent company of |
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| August 12, 2021 |
Amended and Restated Bylaws of Root, Inc. EXHIBIT 3.2 AMENDED AND RESTATED BYLAWS OF ROOT, INC. (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1.Registered Office. The registered office of the corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation. Section 2.Other Offices. The corporation shall also have and maintain an office or principal place of business at such place as may be fixed by the B |
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| August 12, 2021 |
, Inc. and Anirban Kundu, dated June 21, 2021 Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this ?Agreement?) is made as of June 21, 2021 (the ?Effective Date?), between Caret Holdings, Inc, a Delaware corporation (and collectively with its parents, subsidiaries, and other corporate affiliates, and its or their successors or assigns (the ?Company?), and Anirban Kundu (?Executive?). The Company and Executive |
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| August 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 11, 2021 |
Q1 2021 Letter to Shareholders: Q2 2021 2 Key quarterly metrics: Letter to Shareholders: Q2 2021 3 Dear shareholders: Through the second quarter of 2021, we continued to execute on our founding premise that machine learning and technology will fundamentally improve the insurance industry. |
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| July 2, 2021 |
isor Agreement with Daniel Manges, effective July 3, 2021 ADVISOR AGREEMENT This Advisor Agreement (the ?Agreement?) is entered into between Root, Inc. |
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| July 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| June 11, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| June 7, 2021 |
Root, Inc. Bolsters Leadership Team with New Hires Root, Inc. Bolsters Leadership Team with New Hires Root Inc., the parent company of Root Insurance Company, announces key new hires as company extends its technical leadership and launches into its next chapter of growth Root, Inc. (NASDAQ: ROOT), a leading AI technology provider for insurance and parent company of Root Insurance Company, today announced key additions to the executive leadership t |
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| June 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 13, 2021 |
As filed with the Securities and Exchange Commission on May 13, 2021 As filed with the Securities and Exchange Commission on May 13, 2021 Registration No. |
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| May 13, 2021 |
Root, Inc. 2020 Employee Stock Purchase Plan. EXHIBIT 99.2 Root, Inc. 2020 Employee Stock Purchase Plan Adopted by the Board of Directors: October 18, 2020 Approved by the Stockholders: October 19, 2020 IPO Date: October 28, 2020 1.General; Purpose. (a)The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Class A Common Stock. The Plan |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 6, 2021 |
Amended and Restated Bylaws of Root, Inc. EXHIBIT 3.2 AMENDED AND RESTATED BYLAWS OF ROOT, INC. (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1.Registered Office. The registered office of the corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation. Section 2.Other Offices. The corporation shall also have and maintain an office or principal place of business at such place as may be fixed by the B |
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| May 6, 2021 |
Form of Root, Inc. 2020 Equity Incentive Plan RSU Award Grant Notice and Award Agreement EXHIBIT 10.2 Root, Inc. RSU Award Grant Notice (2020 Equity Incentive Plan) Root, Inc. (the ?Company?) has awarded to you (the ?Participant?) the number of restricted stock units specified and on the terms set forth below in consideration of your services (the ?RSU Award?). Your RSU Award is subject to all of the terms and conditions as set forth herein and in the Company?s 2020 Equity Incentive P |
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| May 6, 2021 |
Root, Inc. Non-Employee Director Compensation Policy EXHIBIT 10.1 Root, Inc. Non-Employee Director Compensation Policy Adopted: March 6, 2021 Each member of the Board of Directors (the ?Board?) of Root, Inc. (the ?Company?) who is not an employee of the Company (each, a ?Non-Employee Director?) will receive the compensation described in this Non-Employee Director Compensation Policy (this ?Director Compensation Policy?) for his or her Board service, |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number: 001-39658 ROOT, INC. |
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| May 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 5, 2021 |
Q1 2021 Letter to Shareholders: Q1 2021 2 Key quarterly metrics: Letter to Shareholders: Q1 2021 3 Dear Shareholders: We are very pleased to report and comment on Root?s strong financial and operating performance in Q1 2021. |
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| May 4, 2021 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) De |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| March 4, 2021 |
Offer Letter by and between Root, Inc. and Alexander Timm, dated Exhibit 10.16 November 1, 2020 Alexander Timm Re: Employment Terms Dear Alex: You are currently employed with Root, Inc. (the ?Company?). This letter agreement confirms the terms and conditions of your employment (the ?Agreement?). As of your execution of this Agreement, you acknowledge and agree that you are no longer eligible for nor entitled to any further compensation or benefits under the ter |
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| March 4, 2021 |
Execution Version AMENDED AND RESTATED TERM LOAN AGREEMENT dated as of November 25, 2019 by and among ROOT, INC. |
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| March 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 001-39658 ROOT, INC. (Exact |
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| March 4, 2021 |
Amended and Restated Offer Letter by and between Root, Inc. and Daniel Rosenthal, dated Exhibit 10.17 February 24,2021 Daniel Rosenthal 9101 Burning Tree Road Bethesda MD 20817 Re: Employment Terms Dear Dan: You are currently employed with Root, Inc. (the ?Company?). This letter agreement confirms the terms and conditions of your employment (the ?Agreement?). As of your execution of this Agreement, you acknowledge and agree that you are no longer eligible for nor entitled to any furt |
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| March 4, 2021 |
List of subsidiaries of Root, Inc. Exhibit 21.1 Subsidiaries of Root, Inc. Name Jurisdiction Caret Holdings, Inc. Delaware Root Enterprise, LLC Delaware Root Insurance Company Ohio Root Insurance Agency, LLC Ohio Root Reinsurance Company, Ltd. Cayman Islands Buzzwords Labs Inc. Delaware Root Property & Casualty Insurance Company Delaware |
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| March 4, 2021 |
Exhibit 10.7 ROOT, INC. NOTICE OF EXERCISE Root, Inc. 80 E. Rich Street, Ste. 500 Columbus, Ohio 43215 Ladies and Gentlemen: 1.Option. The person named below (the ?Purchaser?) was granted an option (the ?Option?) to purchase shares of Common Stock of Root, Inc., a Delaware corporation (the ?Company?) pursuant to the Company?s 2015 Equity Incentive Plan (the ?Plan?), by Notice of Stock Option Grant |
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| March 4, 2021 |
Offer Letter by and between Root, Inc. and Daniel Manges, dated Exhibit 10.18 February 24, 2021 Daniel Manges 1185 Bluffway Dr. Columbus, OH 43235 Re: Employment Terms Dear Daniel: You are currently employed with Root, Inc. (the ?Company?). This letter agreement confirms the terms and conditions of your employment (the ?Agreement?). As of your execution of this Agreement, you acknowledge and agree that you are no longer eligible for nor entitled to any further |
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| March 4, 2021 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2020, Root, Inc. had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, or the Exchange Act: our Class A common stock, $0.0001 par value per share. References herein to the terms ?we,? ?our? and ?us? |
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| February 25, 2021 |
root4q2020shareholderlet / Letter to Shareholders: FY 2020 2 Key annual metrics: Direct Contribution ($m) Letter to Shareholders: FY 2020 3 Dear Shareholders, 2020 was an unprecedented year by any measure. |
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| February 25, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2020 (Date |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L 108 (CUSIP Number) February 12, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 12, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Fili |
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| February 12, 2021 |
EX-99.2 3 rootsc13-gexhibit992.htm EXHIBIT 99.2 EXHIBIT 99.2 ITEM 7 INFORMATION The securities being reported on herein by SVB Financial Group, as a parent holding company, are owned by Capital Partners III, L.P. and Venture Overage Fund, L.P., Delaware limited partnerships, and may be deemed to be beneficially owned, by SVB Financial Group. SVB Financial Group is the general partner of Capital Pa |
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| February 12, 2021 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Class A Common Stock, par value $0.0001 per share, of Root, Inc. and further agree to the filing of this agreement as an Exhibit thereto. |
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| February 11, 2021 |
SC 13G 1 d129971dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 11, 2021 |
SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 10, 2021 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Root, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 77664L108 (CUSIP Number) 12/31/2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 10, 2021 |
EX-A EXHIBIT A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Root, Inc. |
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| December 2, 2020 |
Root, Inc. 2020 Equity Incentive Plan. Root, Inc. 2020 Equity Incentive Plan Adopted by the Board of Directors: October 18, 2020 Approved by the Stockholders: October 19, 2020 1.General. (a)Successor to and Continuation of Prior Plan. The Plan is the successor to and continuation of the Prior Plan. As of the Effective Date, (i) no additional awards may be granted under the Prior Plan; (ii) the Prior Plan’s Available Reserve (plus any R |
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| December 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission File Number:001-39658 ROOT, I |
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| December 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2020 ROOT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39658 84-2717903 (State or Other Jurisdiction of Incorporation) (Commission File Number |
