Rocket Companies (NYSE: RKT) awards 14,566 RSUs to director

Rhea-AI Filing Summary

Watterson Sarah reported acquisition or exercise transactions in this Form 4 filing.

Rocket Companies, Inc. (RKT) reported that director Sarah Watterson received an equity award of 14,566 restricted stock units (RSUs) of Class A common stock. The RSUs were granted at $0.00 per share under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan and are scheduled to vest in full on the first anniversary of the grant date. Following this award, Watterson directly holds 14,566 shares/RSUs of Class A common stock, reflecting compensation-related equity rather than an open-market purchase.

Insider Trade Summary

Net Buyer: 14,566 shares

Net Buy 1 txn

Insider Watterson Sarah

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Class A common stock F1	14,566	$0.00	$0.00

Holdings After Transaction: Class A common stock — 14,566 shares (Direct)

Footnotes (1)

1. F1. Represents restricted stock units ("RSUs") granted to the Reporting Person 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 will vest in full on the first anniversary of the grant date.

Key Figures

RSUs granted: 14,566 shares Grant price per share: $0.00 Shares/RSUs held after grant: 14,566 shares +2 more

5 metrics

RSUs granted 14,566 shares Restricted stock units of Class A common stock granted to the director

Grant price per share $0.00 Reported transaction price per share for the RSU award

Shares/RSUs held after grant 14,566 shares Total Class A common shares/RSUs directly held by the reporting person after the award

Vesting schedule First anniversary of grant date RSUs vest in full one year after the grant date

Transaction code A Classified as a grant, award, or other acquisition on Form 4

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, Rule 16b-3

3 terms

restricted stock units financial

"Represents restricted stock units ("RSUs") granted to the Reporting Person"

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 to the Reporting Person under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan"

Rule 16b-3 regulatory

"in a transaction exempt under Rule 16b-3"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

FAQ

What equity award did Sarah Watterson report on this Form 4 for RKT?

Sarah Watterson reported receiving an award of 14,566 restricted stock units (RSUs) of Rocket Companies, Inc. Class A common stock. These RSUs were granted as director compensation under the 2020 Omnibus Incentive Plan at a price of $0.00 per share.

When do Sarah Watterson’s reported RSUs in RKT vest?

The reported RSUs for RKT will vest in full on the first anniversary of the grant date. Each RSU then entitles the holder to receive one share of Class A common stock, assuming all vesting conditions are satisfied at that time.

How many Rocket Companies (RKT) shares does Sarah Watterson hold after this transaction?

After the reported transaction, Sarah Watterson directly holds 14,566 Class A common shares/RSUs of Rocket Companies, Inc. This entire balance reflects the newly granted 14,566 RSUs disclosed in the filing as compensation-related equity.

Was the RKT equity transaction by Sarah Watterson an open-market purchase or a grant?

The RKT transaction was a grant/award of RSUs, not an open-market purchase. It is coded as a grant, award, or other acquisition under the company’s 2020 Omnibus Incentive Plan with a per-share value reported as $0.00.

Is Sarah Watterson’s RKT RSU award exempt under Rule 16b-3?

Yes. The RSU grant to Sarah Watterson is described as exempt under Rule 16b-3. This indicates it qualifies as a board-approved, compensatory transaction under SEC rules rather than a discretionary trading transaction in Rocket Companies, Inc. stock.

Were Sarah Watterson’s RKT transactions made under a Rule 10b5-1 trading plan?

No. The filing’s 10b5-1 checkbox is not marked as affirming a trading plan, and the footnotes do not indicate a Rule 10b5-1 plan. The reported activity is a compensation-related RSU grant, not a scheduled trading-plan transaction.

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/17/2026 - 04:11 PM Accepted by SEC EDGAR 08/17/2026 - 04:11 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^*

Watterson Sarah

(Last) (First) (Middle)

1050 WOODWARD

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/17/2026

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	08/17/2026		A		14,566(1)	A	$0	14,566	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 to the Reporting Person 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 will vest in full on the first anniversary of the grant date.

Remarks:

	/s/ Elisabeth Gormley, attorney in fact	08/17/2026
	** 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)