Rocket Companies (RKT) grants 30,826 RSUs to Chief Accounting Officer

Noah A. Edwards, Chief Accounting Officer of Rocket Companies, Inc. (RKT), was granted 30,826 restricted stock units (RSUs) on 10/08/2025.

Rhea-AI Filing Summary

Noah A. Edwards, Chief Accounting Officer of Rocket Companies, Inc. (RKT), was granted 30,826 restricted stock units (RSUs) on 10/08/2025. The award is exempt under Rule 16b-3 and carries a $0 grant price; each RSU converts to one share of Class A common stock upon vesting. Following the grant, the reporting person beneficially owns 118,636 shares. The RSUs vest in six equal semi-annual installments over three years, with the initial vesting on 04/07/2026, subject to continued employment. The Form 4 was filed by one reporting person and signed on 10/10/2025.

Positive

• Significant retention incentive: 30,826 RSUs vesting over three years promotes continuity
• Alignment with shareholders: RSUs convert to Class A shares on vesting, tying pay to equity performance
• Exempt Rule 16b-3 grant: Indicates company-approved compensatory award rather than a secondary market trade

Negative

• Potential dilution: Grant increases outstanding potential shares and raises beneficial ownership to 118,636
• Service condition risk: Vesting requires continued employment, which may limit near-term liquidity for the officer

Insights

Compensation Analyst

Grant aligns executive pay with shareholder value via time-based RSUs.

The 30,826 RSU award vests in six equal semi-annual installments over three years, creating a time-based retention incentive tied to share price performance at delivery. The grant price is reported as $0, consistent with RSUs that convert to shares on vesting rather than a cash exercise.

Key dependencies include the officer's continued employment through each vesting date and potential tax withholding at delivery. Monitor vesting dates through 10/07/2028 for incremental dilution and any subsequent sales reported on Form 4.

Corporate Governance Advisor

Standard Section 16 filing showing routine equity-based compensation to an officer.

The transaction is described as exempt under Rule 16b-3, indicating it was a company-approved compensatory award rather than a personal purchase or sale. Beneficial ownership rises to 118,636 shares after the grant, reflecting existing holdings plus the RSUs.

Governance implications are limited but include dilution and insider alignment; review future proxy disclosures for aggregate executive compensation and any changes to the 2020 Omnibus Incentive Plan that could affect shareholder dilution over the plan horizon.

Insider Trade Summary

Grant/Award: 30,826 shares

Grant/Award 1 txn

Insider Edwards Noah A.

Role Chief Accounting Officer

Type	Security	Shares	Price	Value
Grant/Award	Class A common stock	30,826	$0.00	$0.00

Holdings After Transaction: Class A common stock — 118,636 shares (Direct)

Footnotes (1)

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. 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.

FAQ

What exactly was reported on the RKT Form 4 filed by Noah A. Edwards?

The Form 4 reports a grant of 30,826 RSUs on 10/08/2025, each converting to one Class A share on vesting; the grant is exempt under Rule 16b-3.

How many shares does Noah A. Edwards beneficially own after the RSU grant?

Following the reported transaction, the reporting person beneficially owns 118,636 shares.

When do the RSUs vest and what are the conditions?

The RSUs vest in six equal semi-annual installments over three years with the initial vesting on 04/07/2026, subject to continued employment on each vesting date.

Was there a purchase price for the RSUs?

The RSUs were granted at a reported price of $0, consistent with restricted stock unit awards that settle in shares upon vesting.

Is this Form 4 filing individual or joint?

The Form 4 was filed by one reporting person (individual filing).

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 10/10/2025 - 04:09 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^*

Edwards Noah A.

(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 Accounting Officer

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		30,826(1)	A	$0	118,636	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.