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Rocket Lab (NASDAQ: RKLB) COO executes 10b5-1 stock sale

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

Rocket Lab Corp Chief Operations Officer Frank Klein reported open-market sales of 36,860 shares of Common Stock on May 28, 2026. The shares were sold in multiple transactions at weighted-average prices ranging from $142.5900 to $150.4500, executed automatically under a Rule 10b5-1 trading plan adopted on September 19, 2025. Following these sales, Klein directly holds 1,006,987 shares of Rocket Lab common stock.

Positive

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Negative

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Insider Klein Frank
Role Chief Operations Officer
Sold 36,860 shs ($5.43M)
Type Security Shares Price Value
Sale Common Stock 700 $143.0543 $100K
Sale Common Stock 2,700 $144.1495 $389K
Sale Common Stock 1,600 $145.2306 $232K
Sale Common Stock 4,000 $146.271 $585K
Sale Common Stock 9,909 $147.1321 $1.46M
Sale Common Stock 8,694 $148.1298 $1.29M
Sale Common Stock 7,848 $149.0947 $1.17M
Sale Common Stock 1,409 $149.9896 $211K
Holdings After Transaction: Common Stock — 1,043,147 shares (Direct, null)
Footnotes (1)
  1. Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 19, 2025. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $142.5900 to $143.4600. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $143.5900 to $144.5800. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $144.6200 to $145.6000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $145.6200 to $146.5900. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $146.6300 to $147.6200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $147.6300 to $148.6100. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $148.6400 to $149.6300. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $149.7600 to $150.4500. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Shares sold 36,860 shares Total net shares sold on May 28, 2026
Lowest weighted-average sale price $142.5900 Weighted-average price range for reported sales
Highest weighted-average sale price $150.4500 Weighted-average price range for reported sales
Shares held after transactions 1,006,987 shares Direct ownership following May 28, 2026 sales
Number of sale transactions 8 transactions Non-derivative open-market sales of Common Stock
Trading plan adoption date September 19, 2025 Adoption date of Rule 10b5-1 trading plan
Rule 10b5-1 trading plan regulatory
"Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 19, 2025."
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
weighted-average price financial
"The price reported in Column 4 is a weighted-average price."
open-market sale financial
"Sale in open market or private transaction"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
Common Stock financial
"security_title: "Common Stock""
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
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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).
X
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*
Klein Frank
(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 Operations Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/28/2026		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 Stock05/28/2026S700(1)D$143.0543(2)1,043,147D
Common Stock05/28/2026S2,700(1)D$144.1495(3)1,040,447D
Common Stock05/28/2026S1,600(1)D$145.2306(4)1,038,847D
Common Stock05/28/2026S4,000(1)D$146.271(5)1,034,847D
Common Stock05/28/2026S9,909(1)D$147.1321(6)1,024,938D
Common Stock05/28/2026S8,694(1)D$148.1298(7)1,016,244D
Common Stock05/28/2026S7,848(1)D$149.0947(8)1,008,396D
Common Stock05/28/2026S1,409(1)D$149.9896(9)1,006,987D
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 the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 19, 2025.
2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $142.5900 to $143.4600. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $143.5900 to $144.5800. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
4. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $144.6200 to $145.6000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
5. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $145.6200 to $146.5900. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
6. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $146.6300 to $147.6200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
7. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $147.6300 to $148.6100. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
8. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $148.6400 to $149.6300. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
9. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $149.7600 to $150.4500. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
By: /s/ Arjun Kampani, as Attorney-in-Fact For: Frank Klein06/01/2026
** 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

How many Rocket Lab (RKLB) shares did COO Frank Klein sell?

Frank Klein sold 36,860 shares of Rocket Lab Common Stock. The sales occurred in several open-market transactions on May 28, 2026, as disclosed in a Form 4 insider trading report filed with the SEC.

At what prices did Rocket Lab COO Frank Klein sell RKLB shares?

Klein’s sales were executed at weighted-average prices between $142.5900 and $150.4500. The filing notes these averages reflect multiple trades within those ranges and offers to provide full breakdowns of share counts at each separate price upon request.

Was Frank Klein’s Rocket Lab share sale under a Rule 10b5-1 plan?

Yes, the filing states the sales occurred automatically under a Rule 10b5-1 trading plan. This plan was adopted by Frank Klein on September 19, 2025, meaning the trades were pre-arranged rather than discretionary on the trade date.

How many Rocket Lab (RKLB) shares does Frank Klein hold after the sale?

After the reported transactions, Frank Klein directly holds 1,006,987 shares of Rocket Lab Common Stock. This post-transaction ownership figure is disclosed in the Form 4 as the total number of shares beneficially owned following the sales.

What type of transaction did Rocket Lab COO Frank Klein report?

Klein reported open-market sales of Rocket Lab Common Stock, coded as “S” on Form 4. All eight transactions involved non-derivative Common Stock and were classified as sales in the open market or private transactions at specified weighted-average prices.