Rocket Companies (RKT) CBO awarded 234,113 RSUs; 44,053 shares used for tax withholding

Rhea-AI Filing Summary

Rocket Companies, Inc. Chief Business Officer William D. Banfield received a grant of 234,113 restricted stock units representing Class A common stock, awarded under the 2020 Omnibus Incentive Plan and approved by a committee of independent directors. The RSUs were granted on March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, starting September 7, 2026, subject to his continued employment. To cover tax withholding upon RSU vesting, 44,053 shares of Class A common stock were forfeited at a price of $14.95 per share. After these transactions, he directly holds 909,940 shares of Class A common stock and 2,826,979 shares each of Class L-1 and Class L-2 common stock.

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

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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^*

Banfield William D.

(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 Business Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/07/2026

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	03/07/2026		A		234,113(1)	A	$0	953,993	D
Class A common stock	03/07/2026		F(2)		44,053	D	$14.95	909,940	D
Class L-1 common stock								2,826,979	D
Class L-2 common stock								2,826,979	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 and approved by a committee of independent directors. 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 March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, with the initial vesting date on September 7, 2026, subject to the Reporting Person's continued employment on the applicable vesting date.

2. 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:

Exhibit 24.1: Power of Attorney

	/s/ Elisabeth Gormley, attorney in fact	03/10/2026
	** 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.

FAQ

What insider transaction did Rocket Companies (RKT) report for William D. Banfield?

Rocket Companies reported that Chief Business Officer William D. Banfield received 234,113 restricted stock units of Class A common stock on March 7, 2026. These RSUs were granted under the 2020 Omnibus Incentive Plan and approved by a committee of independent directors as a compensation-related equity award.

How do the new Rocket Companies RSUs for William D. Banfield vest?

The 234,113 Rocket Companies RSUs granted to William D. Banfield vest in six equal, semi-annual installments over three years. Vesting occurs on each March 7 and September 7, beginning September 7, 2026, and is conditioned on his continued employment through each applicable vesting date.

Why were 44,053 Rocket Companies shares disposed of in this Form 4?

The 44,053 Rocket Companies Class A shares were forfeited to satisfy tax withholding obligations when restricted stock units vested. This disposition, priced at $14.95 per share, represents a tax-withholding mechanism rather than an open-market sale, and is classified under code F in the Form 4.

How many Rocket Companies Class A shares does William D. Banfield hold after these transactions?

Following the RSU-related grant and tax-withholding disposition, William D. Banfield directly holds 909,940 shares of Rocket Companies Class A common stock. This figure reflects his updated ownership position reported in the Form 4 after accounting for both the award and the tax-related share forfeiture.

What are William D. Banfield’s holdings of Rocket Companies Class L-1 and L-2 stock?

The Form 4 shows William D. Banfield directly holding 2,826,979 shares of Rocket Companies Class L-1 common stock and 2,826,979 shares of Class L-2 common stock. These entries are reported as holdings on March 7, 2026, without any associated purchase or sale transaction codes.

Is the Rocket Companies Form 4 for William D. Banfield an open-market stock purchase or sale?

No, the Rocket Companies Form 4 reflects a grant of 234,113 restricted stock units and a tax-withholding disposition of 44,053 shares. There are no open-market purchase or sale codes; the activity is compensation-related and tied to RSU vesting under the company’s 2020 Omnibus Incentive Plan.