Rocket CAO forfeits 12,009 shares for taxes

Rocket Companies’ chief accounting officer forfeited shares to cover taxes on vesting equity awards, with a substantial direct holding remaining after the transaction.

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) reported that Chief Accounting Officer Noah A. Edwards disposed of 12,009 shares of Class A common stock on September 7, 2026. The shares were forfeited to cover tax withholding obligations upon vesting of restricted stock units under the 2020 Omnibus Incentive Plan, leaving him with 156,613 shares held directly.

Insider Trade Summary

Tax Withholding: 12,009 shares

Tax Withholding 1 txn

Insider Edwards Noah A.

Role Chief Accounting Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock F1	12,009	$14.06	$169K

Holdings After Transaction: Class A common stock — 156,613 shares (Direct)

Footnotes (1)

1. F1. Number of shares forfeited to pay tax withholding obligations upon the vesting of restricted stock units granted by the Issuer under its 2020 Omnibus Incentive Plan.

Key Figures

Shares forfeited for tax withholding: 12,009 shares Transaction price per share: $14.06 per share Shares owned after transaction: 156,613 shares

3 metrics

Shares forfeited for tax withholding 12,009 shares Class A common stock disposed on September 7, 2026 to cover tax withholding on RSU vesting

Transaction price per share $14.06 per share Value applied to the 12,009 Rocket Companies Class A shares forfeited

Shares owned after transaction 156,613 shares Directly held Rocket Companies Class A common stock following the disposition

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, tax withholding obligations

3 terms

restricted stock units financial

"upon the vesting of restricted stock units granted by the Issuer"

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.

2020 Omnibus Incentive Plan financial

"granted by the Issuer under its 2020 Omnibus Incentive Plan"

tax withholding obligations financial

"shares forfeited to pay tax withholding obligations upon the vesting"

FAQ

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

What insider transaction did RKT’s Chief Accounting Officer report on this Form 4?

RKT’s Chief Accounting Officer, Noah A. Edwards, reported the disposition of 12,009 shares of Class A common stock on September 7, 2026. The shares were forfeited to satisfy tax withholding obligations related to vesting restricted stock units granted under Rocket Companies’ 2020 Omnibus Incentive Plan.

Was the RKT insider transaction a market sale of shares?

No. The Form 4 states the transaction was a payment of tax liability by delivering or withholding securities. The 12,009 shares of Rocket Companies Class A common stock were forfeited to cover tax withholding upon vesting of restricted stock units, not sold in the open market.

How many RKT shares does Noah A. Edwards hold after this transaction?

After the September 7, 2026 transaction, Noah A. Edwards directly holds 156,613 shares of Rocket Companies Class A common stock. This post-transaction balance is reported in the Form 4 as the total shares beneficially owned following the tax-withholding disposition.

What price per share was used for the RKT tax-withholding disposition?

The transaction used a value of $14.06 per share for the 12,009 Rocket Companies Class A shares forfeited. This figure is reported as the transaction price per share associated with the payment of tax liability by delivering or withholding securities.

Were RKT derivative securities or options involved in this Form 4 filing?

No derivative transactions are reported. The Form 4 shows only a non-derivative disposition of Class A common stock, tied to tax withholding on vesting restricted stock units under Rocket Companies’ 2020 Omnibus Incentive Plan, with no remaining derivative positions listed in the filing’s derivative summary.

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

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Available on EDGAR 09/09/2026 - 07:12 PM EDT Accepted by SEC EDGAR 09/09/2026 - 07:12 PM EDT 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^*

Edwards Noah A.

(Last) (First) (Middle)

C/O ROCKET COMPANIES, INC.

1050 WOODWARD AVENUE

(Street)

DETROIT MICHIGAN 48226

(City) (State) (Zip)

UNITED STATES

(Country)

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 Accounting Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/07/2026

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
Class A common stock	09/07/2026		F(1)		12,009	D	$14.06	156,613	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. Number of shares forfeited to pay tax withholding obligations upon the vesting of restricted stock units granted by the Issuer under its 2020 Omnibus Incentive Plan.

Remarks:

	/s/ Elisabeth Gormley, attorney in fact	09/09/2026
	** 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)