Rocket CTO has 37,930 shares withheld for taxes

Rocket Companies’ CTO had shares withheld to cover taxes on RSU vesting, with 867,341 Class A shares remaining directly held.

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) reported that Chief Technology Officer Shawn Malhotra had 37,930 shares of Class A common stock withheld on September 7, 2026 to satisfy tax withholding obligations upon the vesting of restricted stock units under the company’s 2020 Omnibus Incentive Plan. After this tax-withholding disposition, he holds 867,341 shares of Class A common stock directly, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Tax Withholding: 37,930 shares

Tax Withholding 1 txn

Insider Malhotra Shawn

Role Chief Technology Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock F1	37,930	$14.06	$533K

Holdings After Transaction: Class A common stock — 867,341 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 withheld for taxes: 37,930 shares Price per share: $14.06 per share Shares held after transaction: 867,341 shares

3 metrics

Shares withheld for taxes 37,930 shares Class A common stock forfeited on September 7, 2026 to satisfy tax withholding on RSU vesting

Price per share $14.06 per share Reference value for the 37,930 shares withheld for tax obligations

Shares held after transaction 867,341 shares Direct holdings of Class A common stock by CTO Shawn Malhotra following the transaction

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 did RKT’s Chief Technology Officer report in this Form 4?

The CTO, Shawn Malhotra, reported that 37,930 Class A shares were withheld on September 7, 2026 to pay tax withholding obligations arising from the vesting of restricted stock units granted under Rocket Companies’ 2020 Omnibus Incentive Plan.

Was there an open-market sale of RKT stock in this Form 4?

No. The filing reports a Code F transaction, meaning 37,930 shares were forfeited to cover tax withholding obligations on RSU vesting, rather than an open-market purchase or sale of Rocket Companies Class A common stock.

How many RKT shares does the CTO hold after this transaction?

After the September 7, 2026 tax-withholding disposition, Chief Technology Officer Shawn Malhotra directly holds 867,341 shares of Rocket Companies Class A common stock, as reported in the Form 4 filing.

What was the reference price per share in the RKT Form 4 transaction?

The shares withheld for taxes were valued at a reported $14.06 per share. This figure applies to the 37,930 Class A shares delivered or withheld to satisfy tax withholding obligations on RSU vesting.

Was a Rule 10b5-1 trading plan used for this RKT Form 4 transaction?

No. The filing indicates that the Rule 10b5-1 checkbox is not marked, so no Rule 10b5-1 trading plan is reported for this tax-withholding disposition of Rocket Companies Class A common stock.

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^*

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)
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)		37,930	D	$14.06	867,341	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)