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RKT Insider: CFO's 215,782 RSU Grant Vesting Over Three Years

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

Rhea-AI Filing Summary

Brian N. Brown, Chief Financial Officer and Treasurer of Rocket Companies, Inc. (RKT), reported receipt of 215,782 restricted stock units (RSUs) on 10/08/2025 in a grant priced at $0. Each RSU converts to one share of Class A common stock upon vesting. After the grant the reporting person beneficially owns 1,005,601 shares. The RSUs vest in six equal semi-annual installments over three years, beginning on 04/07/2026 and thereafter each 10/07 and 04/07 until fully vested, subject to continued employment. The grant was exempt under Rule 16b-3.

Positive

  • Retention-focused award: 215,782 RSUs vesting over three years encourages executive continuity
  • Transparent reporting: Form 4 filed and signed on 10/10/2025, using Rule 16b-3 exemption

Negative

  • Potential dilution: 215,782 additional shares will be issued upon vesting, increasing outstanding shares
  • No performance conditions: Vesting is solely time-based, not tied to operational or market performance

Insights

Grant aligns CFO pay with multi-year retention via time‑based RSUs.

The award of 215,782 RSUs is a time‑based, zero‑cost grant that vests in six equal semi‑annual installments over three years starting on 04/07/2026, which ties compensation to continued employment rather than immediate cash payout.

This structure reduces short‑term dilution pressure and focuses on retention; monitor total outstanding share count and future grants to assess dilution over the next three years.

Grant follows standard Rule 16b‑3 exemption and was timely reported on Form 4.

The filing shows the transaction date 10/08/2025 and indicates the RSUs were issued under the 2020 Omnibus Incentive Plan with conversion to Class A common stock at vesting. The Form 4 lists beneficial ownership of 1,005,601 shares after the grant.

Investors should note vesting is contingent on continued employment and track periodic disclosures for any acceleration events or exercises affecting ownership levels within the next three years.

Insider Brown Brian Nicholas
Role Chief Fin. Officer & Treasurer
Type Security Shares Price Value
Grant/Award Class A common stock 215,782 $0.00 --
Holdings After Transaction: Class A common stock — 1,005,601 shares (Direct)
Footnotes (1)
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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*
Brown Brian Nicholas
(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 Fin. Officer & Treasurer
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 215,782(1) A $0 1,005,601 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) CFO receive on 10/08/2025?

The CFO received 215,782 restricted stock units (RSUs) granted on 10/08/2025, priced at $0 and converting to Class A common stock at vesting.

When do the RSUs granted to the RKT CFO vest?

The RSUs vest in six equal semi-annual installments over three years, beginning on 04/07/2026 and then on each 10/07 and 04/07 until fully vested.

How many RKT shares does the reporting person own after the grant?

The reporting person beneficially owns 1,005,601 shares following the reported transaction.

Under what plan were the RSUs granted?

The RSUs were granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan and the grant was exempt under Rule 16b-3.

Was the Form 4 filed timely for the RKT CFO grant?

The Form 4 lists the transaction date as 10/08/2025 and bears a signature dated 10/10/2025, indicating prompt reporting.