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Rocket (RKT) CTO Awarded 154,130 RSUs; Vesting Starts 04/07/2026

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

Rhea-AI Filing Summary

Rocket Companies, Inc. Chief Technology Officer Shawn Malhotra received a grant of 154,130 restricted stock units (RSUs) on 10/08/2025 under the 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Each RSU converts to one share of Class A common stock upon vesting. The RSUs vest in six equal semi-annual installments over three years, beginning 04/07/2026, subject to continued employment. After the grant, the reporting person beneficially owns 788,066 shares of Class A common stock. The filing was submitted as a Form 4 by one reporting person and signed on 10/10/2025.

Positive

  • Retention-focused grant of 154,130 RSUs aligns CTO incentives with long-term company performance
  • Structured vesting in six semi-annual installments supports ongoing executive commitment through 2029
  • Grant exempt under Rule 16b-3, indicating a standard, board-approved equity award

Negative

  • Potential dilution from 154,130 additional shares upon vesting (extent depends on total outstanding shares)
  • No performance conditions disclosed; vesting is solely time‑based, which may not directly link pay to company performance

Insights

CTO received time‑based equity to retain key executive over three years.

The grant of 154,130 RSUs is structured to vest in six equal semi‑annual installments through 04/07/2029 assuming continued employment, aligning the CTO's incentives with multi‑year performance and retention goals. Time‑based RSUs convert one‑for‑one to Class A common stock upon vesting.

This award raises the CTO's beneficial holdings to 788,066 shares, increasing insider alignment with shareholders; investors can monitor scheduled vesting dates starting 04/07/2026 and any future open‑market sales or additional grants disclosed in subsequent Form 4 filings.

Grant appears routine for senior executive retention and long‑term alignment.

The RSUs were granted under the 2020 Omnibus Incentive Plan and are exempt under Rule 16b-3, indicating standard board‑approved equity compensation rather than a purchase. Vesting in semi‑annual installments over three years spreads dilution and ties value realization to continued service.

Material considerations include the total number of shares outstanding to assess dilution and future expense recognition; specific dilution effects are not provided in this filing and must be computed from public share counts in other filings.

Insider Malhotra Shawn
Role Chief Technology Officer
Type Security Shares Price Value
Grant/Award Class A common stock 154,130 $0.00 --
Holdings After Transaction: Class A common stock — 788,066 shares (Direct)
Footnotes (1)
  1. [object Object]
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).
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)
10/08/2025
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 10/08/2025 A 154,130(1) A $0 788,066 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 restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on October 8, 2025 and will vest in six equal, semi-annual installments over three years on each April 7 and October 7, with the initial vesting date on April 7, 2026, subject to the Reporting Person's continued employment on the applicable vesting date.
Remarks:
/s/ Tina V. John, attorney in fact 10/10/2025
** 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 did Rocket Companies (RKT) report in the Form 4 filed by Shawn Malhotra?

The reporting person received 154,130 RSUs on 10/08/2025, increasing beneficial ownership to 788,066 shares; the RSUs vest semi‑annually over three years starting 04/07/2026.

How do these RSUs convert into shares for RKT insiders?

Each RSU represents the contingent right to receive one share of Class A common stock upon vesting, per the filing's explanation.

When do the newly granted RSUs to the CTO begin to vest?

The initial vesting date is 04/07/2026, with six equal semi‑annual installments thereafter over three years.

Is this Form 4 filing an individual or joint filing?

The Form 4 was filed by one reporting person, as indicated in the filing.

Under what plan were the RSUs granted to the CTO?

The RSUs were granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan.