RKT Form 4: CTO Withheld 15,558 Shares at $20.26 for Taxes

Shawn Malhotra, Chief Technology Officer of Rocket Companies, Inc. (RKT), reported a transaction dated 09/07/2025.

Rhea-AI Filing Summary

Shawn Malhotra, Chief Technology Officer of Rocket Companies, Inc. (RKT), reported a transaction dated 09/07/2025. The Form 4 shows 15,558 shares of Class A common stock were disposed at an average price of $20.26. The filing explains these shares were withheld to satisfy tax withholding obligations arising from the vesting of 29,063 restricted stock units granted on March 7, 2025. After the transaction, the reporting person beneficially owned 633,936 shares of Class A common stock. The form was signed on 09/09/2025 by an attorney-in-fact.

Positive

• Transparent disclosure of a routine tax-withholding disposition tied to RSU vesting
• Significant remaining ownership: 633,936 Class A shares remain beneficially owned

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine tax-withholding disposition by an officer; not a directional trade signal for investors.

This Form 4 documents a non-discretionary disposition: 15,558 Class A shares were withheld at $20.26 to cover taxes on 29,063 vested RSUs from March 7, 2025. The transaction reduces the officer's share count but reflects compensation mechanics rather than an open-market sale for liquidity. The officer still beneficially owns 633,936 shares, which maintains significant alignment with shareholders. No new options, grants, or derivative activity are reported.

Corporate Governance Expert

TL;DR: Standard compliance filing showing tax withholding on vested equity; governance and disclosure appear routine.

The disclosure identifies the reporting person as the CTO and classifies the disposition under code F(1), consistent with share withholding to satisfy tax obligations on RSU vesting. The explanation explicitly ties the withheld shares to the March 7, 2025 RSU grant. The filing includes the reporting person's address and a dated signature via attorney-in-fact, meeting Form 4 procedural requirements. There are no indications of departures, option exercises, or related-party transactions beyond ordinary compensation settlements.

Insider Trade Summary

Exercise Price or Tax Liability: 15,558 shares

Exercise Price or Tax Liability 1 txn

Insider Malhotra Shawn

Role Chief Technology Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Class A common stock	15,558	$20.26	$315K

Holdings After Transaction: Class A common stock — 633,936 shares (Direct)

Footnotes (1)

1. F1. Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 29,063 restricted stock units granted to the Reporting Person on March 7, 2025.

FAQ

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

What transaction did RKT CTO Shawn Malhotra report on Form 4?

The Form 4 reports a disposition of 15,558 Class A shares on 09/07/2025 at an average price of $20.26.

Why were 15,558 shares disposed according to the filing?

The filing states the shares were withheld to satisfy tax withholding obligations related to the vesting of 29,063 restricted stock units granted on March 7, 2025.

How many RKT shares does Shawn Malhotra beneficially own after the transaction?

After the reported transaction, the filing shows 633,936 shares of Class A common stock beneficially owned.

What form code and filing dates are shown on the Form 4?

The transaction is coded as F(1) and the transaction date is 09/07/2025; the Form 4 signature is dated 09/09/2025.

Does the Form 4 report any derivative or option activity for the reporting person?

No. Table II for derivative securities contains no reported activity in this filing.

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

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Accepted by SEC EDGAR 09/09/2025 - 04:17 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).

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^*

Malhotra Shawn

(Last) (First) (Middle)

C/O ROCKET COMPANIES, INC.

1050 WOODWARD AVENUE

(Street)

DETROIT MI 48226

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Rocket Companies, Inc. [ RKT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

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

3. Date of Earliest Transaction (Month/Day/Year)
09/07/2025

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
Class A common stock	09/07/2025		F(1)		15,558	D	$20.26	633,936	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 shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 29,063 restricted stock units granted to the Reporting Person on March 7, 2025.

Remarks:

	/s/ Tina V. John, attorney in fact	09/09/2025
	** 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.