Tax withholding trims Rocket (NYSE: RKT) CTO stake to 905K shares

Rhea-AI Filing Summary

Rocket Companies, Inc. Chief Technology Officer Shawn Malhotra had 52,484 shares of Class A common stock withheld to cover taxes on vesting restricted stock units. These shares were forfeited to satisfy tax withholding obligations tied to awards under the company’s 2020 Omnibus Incentive Plan.

After this non-market tax-withholding disposition, Malhotra directly holds 905,271 shares of Rocket Companies Class A common stock. The event reflects routine equity compensation mechanics rather than an open-market sale or purchase decision.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Malhotra Shawn

Role Chief Technology Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock	52,484	$14.09	$739K

Holdings After Transaction: Class A common stock — 905,271 shares (Direct, null)

Footnotes (1)

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Key Figures

Tax-withholding shares: 52,484 shares Reference share price: $14.09 per share Shares owned after transaction: 905,271 shares +1 more

4 metrics

Tax-withholding shares 52,484 shares Shares forfeited to cover tax withholding on RSU vesting

Reference share price $14.09 per share Price used for the tax-withholding disposition

Shares owned after transaction 905,271 shares Direct Class A common stock holdings after tax withholding

Tax-withholding transactions 1 transaction Single F-code disposition for tax withholding

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, tax withholding obligations, Class A common stock, +1 more

5 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

"Number of shares forfeited to pay tax withholding obligations"

Class A common stock financial

"security_title: Class A common stock"

Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.

Form 4 regulatory

"Rocket (RKT) CTO Shawn Malhotra reported in this Form 4"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

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 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 Technology Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/06/2026

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	05/06/2026		F(1)		52,484	D	$14.09	905,271	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	05/07/2026
	** 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)

FAQ

What did Rocket (RKT) CTO Shawn Malhotra report in this Form 4?

Shawn Malhotra reported that 52,484 Rocket Class A shares were forfeited to cover tax withholding obligations when his restricted stock units vested. This is a routine equity compensation event, not an open-market sale or purchase of shares.

Was the Rocket (RKT) CTO’s Form 4 transaction an open-market stock sale?

No, the transaction was a tax-withholding disposition, not an open-market sale. Shares were forfeited back to satisfy tax obligations upon vesting of restricted stock units granted under Rocket’s 2020 Omnibus Incentive Plan.

How many Rocket (RKT) shares were used to cover the CTO’s taxes?

A total of 52,484 shares of Rocket Class A common stock were withheld at a reference price of $14.09 per share. These shares were applied to pay tax withholding due on vested restricted stock unit awards.

How many Rocket (RKT) shares does the CTO own after this tax withholding?

Following the tax-withholding disposition, Shawn Malhotra directly holds 905,271 shares of Rocket Class A common stock. This remaining stake reflects his post-transaction ownership as reported in the Form 4 insider trading report.

What triggered the CTO’s tax-withholding share forfeiture at Rocket (RKT)?

The forfeiture was triggered by the vesting of restricted stock units granted under Rocket’s 2020 Omnibus Incentive Plan. When those RSUs vested, a portion of shares was automatically withheld to satisfy income tax withholding obligations.