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Rocket Lab (NASDAQ: RKLB) CFO awarded 275,319 RSUs in equity grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Spice Adam C. reported acquisition or exercise transactions in this Form 4 filing.

Rocket Lab Corp Chief Financial Officer Adam C. Spice received a grant of 275,319 shares of common stock in the form of restricted stock units (RSUs). The RSUs were granted at a price of $0.00 per share under the Rocket Lab Corporation 2021 Stock Option and Incentive Plan.

According to the award terms, 1/16 of the RSUs will vest on August 22, 2026, and 1/16 will vest on each March 1, May 22, August 22, or November 22 thereafter, subject to his continuous employment through each vesting date. Following this grant, he directly holds 1,195,644 shares of common stock and indirectly holds 250,000 shares by trust.

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Insider Spice Adam C.
Role Chief Financial Officer
Type Security Shares Price Value
Grant/Award Common Stock 275,319 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,195,644 shares (Direct, null); Common Stock — 250,000 shares (Indirect, by Trust)
Footnotes (1)
  1. [object Object]
RSU grant size 275,319 shares Restricted stock units granted to CFO Adam C. Spice
Grant price $0.00 per share Price per share for RSU award
Direct holdings after grant 1,195,644 shares Common stock directly held by CFO after transaction
Indirect holdings by trust 250,000 shares Common stock indirectly held by trust
Initial vesting date August 22, 2026 First 1/16 of RSUs vest on this date
Vesting frequency 1/16 on four dates yearly On March 1, May 22, August 22, November 22 after initial vesting
restricted stock units (RSUs) financial
"Represents restricted stock units (RSUs) granted to the Reporting Person under the Rocket Lab Corporation 2021 Stock Option and Incentive Plan."
Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.
2021 Stock Option and Incentive Plan financial
"RSUs granted to the Reporting Person under the Rocket Lab Corporation 2021 Stock Option and Incentive Plan."
vesting financial
"Such RSUs will vest as follows: 1/16 of the RSUs will vest on August 22, 2026 and 1/16 of the RSUs will vest on each March 1st, May 22nd, August 22nd or November 22nd thereafter."
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
continuous service as an employee financial
"in each case subject to the Reporting Person's continuous service as an employee through each applicable vesting date."
indirect ownership by trust financial
"total_shares_following_transaction: 250000.0000, direct_or_indirect: I, nature_of_ownership: by Trust"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Spice Adam C.
(Last)(First)(Middle)
3881 MCGOWEN STREET
(Street)
LONG BEACH CALIFORNIA 90808
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Rocket Lab Corp [ RKLB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/03/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/03/2026A275,319(1)A$0.01,195,644D
Common Stock250,000Iby Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents restricted stock units (RSUs) granted to the Reporting Person under the Rocket Lab Corporation 2021 Stock Option and Incentive Plan. Such RSUs will vest as follows: 1/16 of the RSUs will vest on August 22, 2026 and 1/16 of the RSUs will vest on each March 1st, May 22nd, August 22nd or November 22nd thereafter, in each case subject to the Reporting Person's continuous service as an employee through each applicable vesting date.
By: /s/ Arjun Kampani, as Attorney-in-Fact For: Adam Spice06/05/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Rocket Lab (RKLB) disclose about CFO Adam C. Spice in this Form 4?

Rocket Lab (RKLB) reported that CFO Adam C. Spice received a grant of 275,319 restricted stock units (RSUs) of common stock at $0.00 per share, under the 2021 Stock Option and Incentive Plan, with a multi-year vesting schedule tied to his continued employment.

How many Rocket Lab (RKLB) RSUs were granted to the CFO and at what price?

The CFO of Rocket Lab (RKLB), Adam C. Spice, was granted 275,319 restricted stock units (RSUs) of common stock at a price of $0.00 per share. These RSUs represent an equity-based compensation award rather than an open-market stock purchase for cash.

What is the vesting schedule for the Rocket Lab (RKLB) RSUs granted to the CFO?

The RSUs granted to Rocket Lab (RKLB) CFO Adam C. Spice vest over time: 1/16 vests on August 22, 2026, and 1/16 vests on each March 1, May 22, August 22, or November 22 thereafter, provided he remains continuously employed through each vesting date.

How many Rocket Lab (RKLB) shares does the CFO hold after this Form 4 transaction?

After the reported grant, Rocket Lab (RKLB) CFO Adam C. Spice directly holds 1,195,644 shares of common stock. He also indirectly holds 250,000 shares of common stock through a trust, reflecting both direct and indirect ownership positions reported in the filing.

Are the Rocket Lab (RKLB) RSUs granted to the CFO tied to continued employment?

Yes. The RSUs granted to Rocket Lab (RKLB) CFO Adam C. Spice vest only if he maintains continuous service as an employee through each vesting date, making the award contingent on his ongoing employment with the company over the scheduled vesting period.

Did the Rocket Lab (RKLB) CFO buy or sell shares on the open market in this Form 4?

No open-market buys or sells were reported for Rocket Lab (RKLB) CFO Adam C. Spice in this Form 4. The main reported event is a grant of 275,319 restricted stock units (RSUs) at $0.00, which is a compensation award rather than a market transaction.