Rocket Lab CFO Adam C. Spice sells 140,157 shares

The CFO's sales were automatic under a Rule 10b5-1 plan adopted June 3, 2026, alongside a same-day option exercise.

Rhea-AI Filing Summary

Rocket Lab Corp Chief Financial Officer Adam C. Spice exercised options for 140,157 common shares at $1.09 per share on October 1, 2026, and sold 140,157 shares that day in three tranches: 39,669 at a weighted-average $70.2827, 85,288 at $70.8922, and 15,200 at $71.7862 per share. The sales occurred automatically under a Rule 10b5-1 trading plan adopted June 3, 2026. After the exercise, his direct option holdings were 2,242,511 shares; reported indirect holdings included 250,000 common shares held by a trust.

Insider Trade Summary 10b5-1

Exercise and Sale: 140,157 shares ($9.77M approx. pre-tax spread)

Exercise and Sale 6 txns

Insider Spice Adam C.

Role Chief Financial Officer

Sold 140,157 shs ($9.93M)

Approx. gross sale proceeds $9.93M

Approx. exercise cost $153K

Approx. pre-tax spread $9.77M

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (right to buy) F5	140,157	$0.00	$0.00
Exercise	Common Stock	140,157	$1.09	$153K
Sale	Common Stock F1, F2	39,669	$70.2827	$2.79M
Sale	Common Stock F1, F3	85,288	$70.8922	$6.05M
Sale	Common Stock F1, F4	15,200	$71.7862	$1.09M
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 2,242,511 contracts (Direct); Common Stock — 1,155,967 shares (Direct); Common Stock — 250,000 shares (Indirect, by Trust)

Footnotes (5)

1. F1. Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026.
2. F2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.5300 to $70.5200. 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. F3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.5300 to $71.5200. 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. F4. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $71.5300 to $72.3900. 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. F5. The stock option was granted on August 3, 2018, and had a vesting commencement date of May 25, 2018. 1/4 of the shares subject to the stock option vest on the one year anniversary of the vesting commencement date, and 1/48 of the shares subject to the stock option vest on a monthly basis each month thereafter, subject, in each case, to the reporting person's continued service relationship through each applicable vesting date.

Key Figures

Options exercised: 140,157 shares Exercise price: $1.09 per share Shares sold: 140,157 shares +5 more

8 metrics

Options exercised 140,157 shares Common shares acquired on October 1, 2026

Exercise price $1.09 per share October 1, 2026

Shares sold 140,157 shares October 1, 2026

Weighted-average sale price $70.2827 per share 39,669 shares; transaction prices ranged from $69.5300 to $70.5200

Weighted-average sale price $70.8922 per share 85,288 shares; transaction prices ranged from $70.5300 to $71.5200

Weighted-average sale price $71.7862 per share 15,200 shares; transaction prices ranged from $71.5300 to $72.3900

Direct options after exercise 2,242,511 shares October 1, 2026

Indirect common shares held by trust 250,000 shares October 1, 2026

Key Terms

Rule 10b5-1 trading plan, weighted-average price, vesting commencement date

3 terms

Rule 10b5-1 trading plan regulatory

"automatically pursuant to a Rule 10b5-1 trading plan"

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."

Weighted-average price is the average of multiple prices where each price is counted according to its size or importance—larger trades carry more weight than smaller ones, like averaging course grades by credit hours. It matters to investors because it gives a more realistic picture of the true price paid or received, helping assess trade execution, compare performance, calculate cost basis, and value positions more accurately than a simple average.

vesting commencement date financial

"had a vesting commencement date of May 25, 2018"

The vesting commencement date is the starting point when an employee begins earning ownership rights to their promised benefits, such as stock options or retirement contributions. Think of it like the day a savings account is opened—only after this date do the benefits start to grow and become fully available over time. It matters to investors because it marks when the clock begins ticking toward full ownership, affecting the timing and value of these benefits.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many RKLB shares did Adam C. Spice sell, and at what prices?

Adam C. Spice sold 140,157 shares on October 1, 2026: 39,669 at a weighted-average $70.2827 per share, 85,288 at $70.8922 per share, and 15,200 at $71.7862 per share. The sales occurred automatically under a Rule 10b5-1 trading plan adopted June 3, 2026. The respective transaction price ranges were $69.5300 to $70.5200, $70.5300 to $71.5200, and $71.5300 to $72.3900.

What were the terms of Adam C. Spice's reported RKLB option exercise?

Adam C. Spice exercised options for 140,157 common shares at $1.09 per share on October 1, 2026. The stock option was granted August 3, 2018, had a vesting commencement date of May 25, 2018, and expires August 3, 2028.

How many RKLB common shares were listed as held by a trust?

The reported indirect holding by trust was 250,000 shares of common stock as of October 1, 2026.

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

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Available on EDGAR 10/02/2026 - 05:20 PM Accepted by SEC EDGAR 10/02/2026 - 05:19 PM Learn about SEC filing dates

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^*

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/01/2026		M		140,157	A	$1.09	1,296,124	D
Common Stock	10/01/2026		S		39,669(1)	D	$70.2827(2)	1,256,455	D
Common Stock	10/01/2026		S		85,288(1)	D	$70.8922(3)	1,171,167	D
Common Stock	10/01/2026		S		15,200(1)	D	$71.7862(4)	1,155,967	D
Common Stock								250,000	I	by 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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$1.09	10/01/2026		M			140,157	(5)	08/03/2028	Common Stock	140,157	$0.0	2,242,511	D

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 June 03, 2026.

2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.5300 to $70.5200. 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 $70.5300 to $71.5200. 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 $71.5300 to $72.3900. 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 stock option was granted on August 3, 2018, and had a vesting commencement date of May 25, 2018. 1/4 of the shares subject to the stock option vest on the one year anniversary of the vesting commencement date, and 1/48 of the shares subject to the stock option vest on a monthly basis each month thereafter, subject, in each case, to the reporting person's continued service relationship through each applicable vesting date.

	By: /s/ Arjun Kampani, as Attorney-in-Fact For: Adam Spice	10/02/2026
	** 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.
* Form 4: SEC 1474 (03-26)