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  4. [Form 4] Rocket Lab Corp Insider Trading Activity

Rocket Lab (NASDAQ: RKLB) COO sells 81,250 shares via trading plans

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

Rhea-AI Filing Summary

Rocket Lab Corp’s Chief Operations Officer Frank Klein reported open-market sales of 81,250 shares of common stock on March 2 and 4, 2026. These transactions were executed as Rule 10b5-1 trading plan sales, including a sell-to-cover sale to satisfy tax withholding tied to vested restricted stock units.

The shares were sold at weighted-average prices reported in ranges from $66.47 to $73.99 per share across multiple trades. After these transactions, Klein directly held 1,088,237 Rocket Lab shares, reflecting his remaining equity stake in the company.

Positive

  • None.

Negative

  • None.
Insider Klein Frank
Role Chief Operations Officer
Sold 81,250 shs ($5.74M)
Type Security Shares Price Value
Sale Common Stock 2,000 $70.255 $141K
Sale Common Stock 10,296 $71.3175 $734K
Sale Common Stock 17,675 $72.0239 $1.27M
Sale Common Stock 5,597 $73.0817 $409K
Sale Common Stock 1,200 $73.8208 $89K
Sale Common Stock 3,182 $66.8288 $213K
Sale Common Stock 2,244 $67.9207 $152K
Sale Common Stock 8,173 $69.1034 $565K
Sale Common Stock 25,971 $70.0313 $1.82M
Sale Common Stock 4,912 $70.617 $347K
Holdings After Transaction: Common Stock — 1,123,005 shares (Direct)
Footnotes (1)
  1. Represents the sale of shares pursuant to a "sell-to-cover" transaction pursuant to a Rule 10b5-1 election adopted by the Reporting Person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the Reporting Person. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $66.4700 to $67.4500. 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. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $67.5000 to $68.4500. 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. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $68.4800 to $69.4600. 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 $69.4700 to $70.4600. 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 $70.4700 to $70.9450. 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. 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 $69.6400 to $70.6200. 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 $70.6600 to $71.6500. 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 $71.6600 to $72.6500. 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 $72.6700 to $73.6400. 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 $73.6800 to $73.9900. 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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 CA 90808
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Rocket Lab Corp [ RKLB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operations Officer
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 03/02/2026 S 3,182(1) D $66.8288(2) 1,166,305 D
Common Stock 03/02/2026 S 2,244(1) D $67.9207(3) 1,164,061 D
Common Stock 03/02/2026 S 8,173(1) D $69.1034(4) 1,155,888 D
Common Stock 03/02/2026 S 25,971(1) D $70.0313(5) 1,129,917 D
Common Stock 03/02/2026 S 4,912(1) D $70.617(6) 1,125,005 D
Common Stock 03/04/2026 S 2,000(7) D $70.255(8) 1,123,005 D
Common Stock 03/04/2026 S 10,296(7) D $71.3175(9) 1,112,709 D
Common Stock 03/04/2026 S 17,675(7) D $72.0239(10) 1,095,034 D
Common Stock 03/04/2026 S 5,597(7) D $73.0817(11) 1,089,437 D
Common Stock 03/04/2026 S 1,200(7) D $73.8208(12) 1,088,237 D
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents the sale of shares pursuant to a "sell-to-cover" transaction pursuant to a Rule 10b5-1 election adopted by the Reporting Person in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the Reporting Person.
2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $66.4700 to $67.4500. 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.
3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $67.5000 to $68.4500. 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.
4. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $68.4800 to $69.4600. 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.
5. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.4700 to $70.4600. 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.
6. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.4700 to $70.9450. 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. 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.
8. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.6400 to $70.6200. 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.
9. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.6600 to $71.6500. 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.
10. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $71.6600 to $72.6500. 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.
11. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $72.6700 to $73.6400. 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.
12. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $73.6800 to $73.9900. 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 Klein 03/04/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Rocket Lab (RKLB) COO Frank Klein disclose in this Form 4?

Frank Klein disclosed selling 81,250 shares of Rocket Lab common stock in open-market transactions on March 2 and 4, 2026. The filing shows these trades were executed under Rule 10b5-1 trading arrangements and included a sell-to-cover for RSU-related tax withholding.

How many Rocket Lab (RKLB) shares does Frank Klein hold after these sales?

After the reported transactions, Frank Klein directly holds 1,088,237 Rocket Lab shares. This figure reflects his remaining ownership following the sale of 81,250 shares executed under Rule 10b5-1 plans and a sell-to-cover transaction for RSU tax obligations.

Were Frank Klein’s Rocket Lab (RKLB) share sales pre-planned?

Yes. The sales were made under Rule 10b5-1 trading plans, including a plan adopted on September 19, 2025. Such plans allow insiders to schedule trades in advance, helping separate personal portfolio decisions from day-to-day corporate developments.

What is the purpose of the sell-to-cover transaction for Rocket Lab (RKLB) COO?

Part of the sale represents a sell-to-cover transaction to satisfy tax withholding obligations from vested restricted stock units. Instead of paying taxes in cash, a portion of newly vested shares is sold automatically to cover required withholding amounts.

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

The filing reports weighted-average sale prices for multiple trades, with ranges from $66.47 to $73.99 per share. Each price reflects numerous executions within the specified range, with detailed breakdowns available upon request from the company or regulators.

Does the Form 4 show Rocket Lab (RKLB) COO buying any shares?

No. The Form 4 lists 10 separate sale transactions and no purchases. All are classified as open-market sales of common stock, tied to Rule 10b5-1 trading plans and a sell-to-cover for tax obligations on previously granted restricted stock units.