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  4. [144] Rocket Lab Corp SEC Filing

Rocket Lab officer plans sale of 140K shares

Rocket Lab officer Adam C. Spice filed a Form 144 indicating potential open-market sales of 140,157 shares following a stock option exercise.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

Rocket Lab Corp (RKLB) received a Form 144 notice from officer Adam C. Spice indicating an intention to sell up to 140,157 shares of common stock through Morgan Stanley Smith Barney, following an acquisition of these shares via exercise of stock options for cash on September 2, 2026. The securities section lists an aggregate market value of $8,765,418.78 for the shares and cites 598,350,482 shares as a reference outstanding figure. The filing also reports prior sales of Rocket Lab common stock by Spice over the past three months.

Positive

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Shares potentially to be sold 140,157 shares Rocket Lab common stock under Form 144 by Adam C. Spice
Aggregate market value of shares $8,765,418.78 Value associated with 140,157 Rocket Lab shares in the Form 144
Reference common shares outstanding 598,350,482 shares Common stock figure cited in the securities information section
Prior sale on August 24, 2026 9,677 shares for $673,790.46 Rocket Lab common stock sold by Adam C. Spice in last 3 months
Prior sale on August 18, 2026 30,908 shares for $2,484,247.50 Rocket Lab common stock sold by Adam C. Spice in last 3 months
Prior sale on August 17, 2026 15,718 shares for $1,291,812.12 Rocket Lab common stock sold by Adam C. Spice in last 3 months
Rule 144 regulatory
"See the definition of "person" in paragraph (a) of Rule 144."
Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.
Exercise of Stock Options financial
"Common | 09/02/2026 | Exercise of Stock Options | Issuer"
aggregate financial
"Information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated"
A combined total or summary created by adding together multiple parts or data points. Used as a noun and a verb, it means pooling individual items (sales, revenues, assets, transactions, or data) into one overall figure so stakeholders can see the big picture; like pouring many small jars into a single container to measure the total amount. Aggregate figures matter to investors because they show the overall size, trend, or exposure of a business or market rather than the detail of each component.

FAQ

What does the Form 144 filed for RKLB disclose about Adam C. Spice?
The Form 144 discloses that officer Adam C. Spice may sell up to 140,157 shares of Rocket Lab common stock, which he acquired through the exercise of stock options for cash on September 2, 2026, through Morgan Stanley Smith Barney.

How many RKLB shares may be sold under this Form 144 notice?
The notice states that up to 140,157 shares of Rocket Lab common stock may be sold. The Form lists these shares with an aggregate market value of $8,765,418.78 as of the filing details.

What prior RKLB stock sales by Adam C. Spice are reported in the last three months?
The filing reports prior Rocket Lab common stock sales by Adam C. Spice of 9,677 shares on August 24, 2026 for $673,790.46, 30,908 shares on August 18, 2026 for $2,484,247.50, and 15,718 shares on August 17, 2026 for $1,291,812.12.

How were the RKLB shares to be sold under this Form 144 acquired?
The shares covered by the notice were acquired through an Exercise of Stock Options from the issuer, Rocket Lab Corp, on September 2, 2026, with the form indicating the acquisition was made for cash.

Which broker is listed for the potential RKLB share sales in this Form 144?
The Form 144 lists Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza in New York, as the broker handling the potential sale of 140,157 Rocket Lab common shares on the NASDAQ market.

What reference share count for RKLB is mentioned in the Form 144?
The securities information section cites 598,350,482 shares as a reference figure for Rocket Lab common stock, separate from the 140,157 shares that may be sold under this Form 144 notice.

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

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144: Filer Information

144: Issuer Information

144: Securities Information



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

144: Securities To Be Sold


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



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

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR