Rocket Lab Usa Inc SEC Filings

Adam C. Spice, Rocket Lab Corp (RKLB) Chief Financial Officer, reported option exercises and share sales in mid-September 2025. On 09/18/2025 Mr. Spice exercised an employee stock option with a $1.09 exercise price covering 1,867,496 shares, triggering acquisition of those common shares. The filing reports a subsequent "sell-to-cover" disposition on 09/19/2025 of 862,588 shares at a weighted-average price of $47.9941 and an additional sale of 12,000 shares at a weighted-average price of $48.8484 to satisfy the exercise cost and tax withholding. After these transactions, the reporting person beneficially owned 3,254,155 shares including 1,867,496 underlying the exercised option and 2,057,889 shares held directly following the final sale.

Alexander R. Slusky, a director of Rocket Lab Corp (RKLB), reported on Form 4 that on 09/18/2025 he disposed of 35,000 shares of Rocket Lab common stock as a bona fide gift to a charitable entity. After the gift, Mr. Slusky directly beneficially owns 88,849 shares and indirectly owns 534,675 shares through Abalone Cove LLLP, a partnership where he is the sole general partner and, together with his spouse, the sole limited partners. The Form 4 was signed by an attorney-in-fact on 09/22/2025.

Rocket Lab Corp (RKLB) filing a Form 144 notifies a proposed sale of 874,588 common shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $41,985,296.61. The filing states the shares were acquired on 09/18/2025 via previously exercised options and paid for in cash on the same date. The filer reports 479,355,713 shares outstanding for the issuer and lists an approximate sale date of 09/19/2025 on the NASDAQ. The filing indicates no securities sold by the account in the past three months and includes the standard representation that the seller is not aware of undisclosed material adverse information.

Matthew Ocko, a director of Rocket Lab Corp (RKLB), reported multiple dispositions of Common Stock on 09/16/2025. The Form 4 shows a series of sales and distributions that in aggregate disposed of 3,920,112 shares on that date at weighted average prices reported in grouped ranges from about $47.01 to $52.45 per share. The table lists multiple sale tranches (individual weighted-average prices shown in footnotes) and additional distributions for no consideration to limited partners and related entities, with certain shares held indirectly through venture funds and management entities. The filing includes footnotes clarifying record holders, distributions to partners, and disclaimers of beneficial ownership except to the extent of any pecuniary interest.

Adam C. Spice, Chief Financial Officer of Rocket Lab Corp (RKLB), reported multiple sales of common stock on 09/16/2025 as shown on Form 4. The transactions are described as "sell-to-cover" sales to satisfy tax withholding on the vesting and settlement of previously granted restricted stock units. The reported disposals were: 12,358 shares at a weighted-average price of $47.785, 31,843 shares at $48.6044, 13,743 shares at $49.4143, 6,686 shares at $50.5206 and 3,624 shares at $51.6341. Following these transactions, the reporting person’s direct beneficial ownership decreased to 1,064,981 shares. The Form 4 was signed on behalf of Mr. Spice by his attorney-in-fact on 09/18/2025.

Frank Klein, Chief Operations Officer of Rocket Lab Corp (RKLB), reported multiple sales of common stock on September 16-17, 2025. The filings show a series of sell-to-cover transactions tied to RSU vesting and additional sales executed under a Rule 10b5-1 trading plan. Across the listed transactions the reporting person disposed of 49,821 shares at weighted-average prices that ranged roughly from $47.13 to $52.05. Following the reported dispositions, the filing shows the reporting person beneficially owned 1,316,005 shares of common stock. The form states the sales were to satisfy tax-withholding obligations and pursuant to an existing trading plan, and provides weighted-average price ranges for each tranche.

Rocket Lab Corp (RKLB) reporting person Arjun Kampani, SVP General Counsel, disclosed multiple sales of common stock on September 16-17, 2025. The Form 4 shows a series of dispositions totaling 40,601 shares sold, executed as both "sell-to-cover" transactions to satisfy tax withholding on vested restricted stock units and automated sales under a Rule 10b5-1 trading plan adopted December 12, 2024. Reported weighted-average prices for the sales ranged roughly from $46.53 to $52.05, with specific weighted-average prices between $47.18 and $51.63 shown for the reported lots. After these transactions, the filing shows the reporting person beneficially owned 489,629 shares.

Peter Beck, Kerryn Beck, Warren Butler, Equatorial Trust and Peek Street Equatorial Trustee Limited reported a series of sales of Rocket Lab Corp (RKLB) common stock on September 15 and 16, 2025. The filings show multiple disposals executed under a Rule 10b5-1 trading plan adopted by the Equatorial Trust on June 13, 2025, with weighted average prices disclosed for groups of sales ranging from about $47.41 to $55.16 per share.

The Form 4s disclose that the shares are held directly by the Trust and that Peek Street Equatorial Trustee Limited is the trustee, with Peter Beck, Kerryn Beck and Warren Butler serving as directors of the Trustee and sharing voting and investment control; each is therefore deemed an indirect beneficial owner. Following the reported transactions, the Trust’s reported indirect beneficial ownership is shown as 2,500,000 shares in the most recent line item.

Rocket Lab Corp (RKLB) submitted a Form 144 notice reporting a proposed sale of 4,286 shares of common stock through Morgan Stanley Smith Barney LLC on the NASDAQ, with an approximate sale date of 09/17/2025. The filer reports the 4,286 shares were acquired as Restricted Stock Units from the issuer on 08/22/2025 and the aggregate market value of the proposed sale is listed as $202,492.07. The filing shows 479,355,713 shares outstanding for the issuer. The notice states there were no other sales by the reporting person in the prior three months and includes the standard representation that the seller is not aware of undisclosed material adverse information.