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  4. [Form 4] Rocket Companies, Inc. Insider Trading Activity

RKT insider files Form 4 for Rule 10b5-1 share sales

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) director reports small open-market share sales under a pre-set trading plan. The reporting person sold 2,500 shares of Class A common stock on 11/21/2025 at a weighted average price of $17.0342 per share and another 2,500 shares on 11/24/2025 at a weighted average price of $17.7742 per share, for a total of 5,000 shares sold.

These transactions were executed pursuant to a Rule 10b5-1 trading plan adopted on August 11, 2025, which is designed to allow automatic trading according to pre-arranged instructions. After the reported sales, the reporting person continues to beneficially own over 1.0 million shares of Class A common stock and significant holdings of Class L-1 and Class L-2 common stock, including shares held directly and through a grantor retained annuity trust.

Positive

  • None.

Negative

  • None.
Insider Rizik Matthew
Role Director
Sold 5,000 shs ($87K)
Type Security Shares Price Value
Sale Class A common stock 2,500 $17.7742 $44K
Sale Class A common stock 2,500 $17.0342 $43K
holding Class L-1 common stock -- -- --
holding Class L-2 common stock -- -- --
holding Class L-1 common stock -- -- --
holding Class L-2 common stock -- -- --
Holdings After Transaction: Class A common stock — 1,008,184 shares (Direct); Class L-1 common stock — 2,511,005 shares (Direct); Class L-2 common stock — 2,361,005 shares (Direct); Class L-1 common stock — 675,000 shares (Indirect, by grantor retained annuity trust (GRAT)); Class L-2 common stock — 825,000 shares (Indirect, by grantor retained annuity trust (GRAT))
Footnotes (1)
  1. The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2025. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.675 to $17.405 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.50 to $17.915 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 Reporting Person is the trustee of the Matthew J. Rizik 2025 GRAT (grantor retained annuity trust) and is the sole annuitant of the GRAT.
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*
Rizik Matthew
(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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/21/2025
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 11/21/2025 S(1) 2,500 D $17.0342(2) 1,010,684 D
Class A common stock 11/24/2025 S(1) 2,500 D $17.7742(3) 1,008,184 D
Class L-1 common stock 2,511,005 D
Class L-2 common stock 2,361,005 D
Class L-1 common stock 675,000 I by grantor retained annuity trust (GRAT)(4)
Class L-2 common stock 825,000 I by grantor retained annuity trust (GRAT)(4)
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. The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2025.
2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.675 to $17.405 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.50 to $17.915 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 Reporting Person is the trustee of the Matthew J. Rizik 2025 GRAT (grantor retained annuity trust) and is the sole annuitant of the GRAT.
Remarks:
/s/ Elisabeth Gormley, attorney in fact 11/25/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Rocket Companies (RKT) disclose in this Form 4?

The filing reports that a director of Rocket Companies, Inc. (RKT) sold 2,500 Class A shares on 11/21/2025 and another 2,500 Class A shares on 11/24/2025, for a total of 5,000 shares sold.

At what prices were the Rocket Companies (RKT) shares sold in this Form 4?

The 11/21/2025 sale of 2,500 Class A shares had a weighted average price of $17.0342 per share, and the 11/24/2025 sale of 2,500 Class A shares had a weighted average price of $17.7742 per share.

How many Rocket Companies (RKT) shares does the insider own after these transactions?

Following the reported transactions, the insider beneficially owns 1,010,684 Class A common shares before the second sale and 1,008,184 Class A common shares after it, along with 2,511,005 Class L-1 and 2,361,005 Class L-2 common shares directly, plus additional Class L-1 and L-2 shares held indirectly via a grantor retained annuity trust.

Was the Rocket Companies (RKT) insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states that the transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2025, which provides pre-set instructions for trading.

What are the weighted average price ranges mentioned in the Rocket Companies (RKT) Form 4?

For the 11/21/2025 sale, the shares were sold in multiple trades at prices ranging from $16.675 to $17.405 per share. For the 11/24/2025 sale, trades occurred between $17.50 and $17.915 per share.

How are some Rocket Companies (RKT) shares held indirectly by the insider?

The filing notes that certain Class L-1 and Class L-2 common shares are held indirectly by a grantor retained annuity trust, identified as the Matthew J. Rizik 2025 GRAT, for which the reporting person is trustee and sole annuitant.