Rocket CFO gets RSU grant, shares withheld for tax

Rocket Companies, Inc. President & Chief Financial Officer Brian Nicholas Brown reported routine equity compensation and related tax withholding in Class A common stock.

Rhea-AI Filing Summary

Rocket Companies, Inc. President & Chief Financial Officer Brian Nicholas Brown reported routine equity compensation and related tax withholding in Class A common stock. He received a grant of 367,892 restricted stock units on March 7, 2026, each representing one share upon vesting under the 2020 Omnibus Incentive Plan.

To cover tax obligations tied to RSU vesting, a total of 31,247 shares of Class A common stock were withheld at $14.95 per share, recorded as two separate dispositions. After these transactions, Brown directly holds 1,303,118 shares of Class A common stock, plus disclosed holdings in Class L-1 and Class L-2 common stock.

Insider Trade Summary

5 transactions reported

Mixed 5 txns

Insider Brown Brian Nicholas

Role President & Chief Fin Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Class A common stock	14,675	$14.95	$219K
Grant/Award	Class A common stock	367,892	$0.00	$0.00
Exercise Price or Tax Liability	Class A common stock	16,572	$14.95	$248K
holding	Class L-1 common stock	--	--	--
holding	Class L-2 common stock	--	--	--

Holdings After Transaction: Class A common stock — 1,303,118 shares (Direct); Class L-1 common stock — 395,777 shares (Direct); Class L-2 common stock — 395,777 shares (Direct)

Footnotes (2)

1. F1. 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. F2. 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.

FAQ

What insider transactions did RKT executive Brian Nicholas Brown report?

Brian Nicholas Brown reported an equity grant and tax withholding transactions in Rocket Companies Class A stock. He received 367,892 restricted stock units and had 31,247 shares withheld at $14.95 each to satisfy tax obligations linked to vesting under the 2020 Omnibus Incentive Plan.

How many Rocket Companies (RKT) shares does Brian Nicholas Brown hold after these transactions?

Following the reported transactions, Brian Nicholas Brown directly holds 1,303,118 shares of Rocket Companies Class A common stock. The filing also lists direct holdings of 395,777 shares each of Class L-1 and Class L-2 common stock, reflecting his broader ownership position in the company.

What are the terms of the RSU grant to Rocket Companies executive Brian Nicholas Brown?

Brown received 367,892 restricted stock units on March 7, 2026 under Rocket’s 2020 Omnibus Incentive Plan. Each RSU equals one Class A share upon vesting, in six equal semi-annual installments over three years, starting September 7, 2026, contingent on continued employment at each vesting date.

Were the Rocket Companies (RKT) insider transactions open-market sales?

The filing shows no open-market purchases or sales. Instead, 31,247 Class A shares were forfeited to cover tax withholding obligations on vesting restricted stock units, a non-market disposition, while 367,892 RSUs were granted as compensation approved by a committee of independent directors under Rule 16b-3.

How significant are the tax withholding transactions reported by Rocket Companies’ CFO?

The filing records 31,247 Class A shares withheld at $14.95 per share to satisfy tax liabilities on RSU vesting. These F-code dispositions are standard, mechanical transactions associated with equity compensation and do not represent discretionary open-market selling of Rocket Companies stock by the executive.

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Accepted by SEC EDGAR 03/10/2026 - 04:24 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^*

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)
	President & Chief Fin 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		367,892(1)	A	$0	1,334,365	D
Class A common stock	03/07/2026		F(2)		16,572	D	$14.95	1,317,793	D
Class A common stock	03/08/2026		F(2)		14,675	D	$14.95	1,303,118	D
Class L-1 common stock								395,777	D
Class L-2 common stock								395,777	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:

	/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.
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