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

Rocket Lab (RKLB) COO sells 45,692 shares in tax-cover plan

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

Rhea-AI Filing Summary

Rocket Lab Corp (RKLB) reported that Chief Operations Officer Frank Klein sold a total of 45,692 shares of common stock on 2026-08-24. The transactions were described as sell-to-cover sales under a Rule 10b5-1 election to satisfy tax withholding obligations arising from the vesting and settlement of previously granted restricted stock units. Sale prices were reported as weighted-average prices within disclosed intraday ranges.

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Insider Klein Frank
Role Chief Operations Officer
Sold 45,692 shs ($3.18M)
Type Security Shares Price Value
Sale Common Stock F1, F2 42,270 $69.5345 $2.94M
Sale Common Stock F1, F3 1,368 $70.2023 $96K
Sale Common Stock F1 2,054 $71.17 $146K
Holdings After Transaction: Common Stock — 961,295 shares (Direct)
Footnotes (3)
  1. F1. 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. F2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.0000 to $69.9900. 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.
  3. F3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.0000 to $70.6400. 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.
Shares sold (largest tranche) 42,270 shares Common Stock sale on 2026-08-24 at weighted-average price
Weighted-average sale price (largest tranche) $69.5345 per share 42,270-share sale; trades ranged from $69.0000 to $69.9900
Shares sold (second tranche) 1,368 shares Common Stock sale on 2026-08-24 at weighted-average price
Weighted-average sale price (second tranche) $70.2023 per share 1,368-share sale; trades ranged from $70.0000 to $70.6400
Shares sold (third tranche) 2,054 shares Common Stock sale on 2026-08-24 at single reported price
Sale price (third tranche) $71.1700 per share 2,054-share Common Stock sale on 2026-08-24
Total shares sold 45,692 shares Aggregate of three Common Stock sale transactions on 2026-08-24
sell-to-cover financial
"Represents the sale of shares pursuant to a "sell-to-cover" transaction"
Sell-to-cover is when part of newly issued or exercised company stock is immediately sold to pay required taxes and fees, so the recipient keeps the remaining shares. For investors this matters because it reduces the number of shares insiders or employees actually hold after a grant, can create small, routine share sales that aren’t signal of cashing out, and slightly increases share supply on the market—like selling a portion of a paycheck to cover the tax bill.
Rule 10b5-1 regulatory
"pursuant to a Rule 10b5-1 election adopted by the Reporting Person"
Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.
restricted stock units financial
"in connection with the vesting and settlement of restricted stock units"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
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.
tax withholding obligations financial
"in order to satisfy applicable tax withholding obligations"

FAQ

What insider transactions did RKLB report for Frank Klein on this Form 4?
The filing reports that Frank Klein, Chief Operations Officer of Rocket Lab Corp (RKLB), sold a total of 45,692 shares of common stock on 2026-08-24 in three separate transactions classified as open-market or private sales.

How many RKLB shares did Frank Klein sell and at what prices?
Frank Klein sold 42,270 shares at a weighted-average price of $69.5345, 1,368 shares at a weighted-average price of $70.2023, and 2,054 shares at $71.1700. The first two tranches were executed in multiple trades within stated intraday price ranges.

Why did Frank Klein’s RKLB share sales occur according to the Form 4?
The Form 4 states the sales represent a sell-to-cover transaction under a Rule 10b5-1 election, undertaken to satisfy applicable tax withholding obligations related to the vesting and settlement of restricted stock units previously granted to Frank Klein.

Were Frank Klein’s RKLB stock sales made under a Rule 10b5-1 trading plan?
Yes. The filing’s Rule 10b5-1 checkbox is marked and a footnote explains that the sales were made pursuant to a Rule 10b5-1 election adopted by Frank Klein, in connection with covering tax withholding on vesting restricted stock units.

How were the RKLB sale prices for Frank Klein’s transactions reported?
For two transactions, the reported prices are weighted-average prices. Footnotes state the 42,270-share sale occurred between $69.0000 and $69.9900, and the 1,368-share sale between $70.0000 and $70.6400. The 2,054-share sale was reported at $71.1700 per share.

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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)
08/24/2026		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 Stock08/24/2026S42,270(1)D$69.5345(2)964,717D
Common Stock08/24/2026S1,368(1)D$70.2023(3)963,349D
Common Stock08/24/2026S2,054(1)D$71.17961,295D
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 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 $69.0000 to $69.9900. 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.
3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.0000 to $70.6400. 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.
By: /s/ Arjun Kampani, as Attorney-in-Fact For: Frank Klein08/26/2026
** 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