Rocket Companies (NYSE: RKT) director logs RSU exercise and 14,796-share Class A stock move

Rhea-AI Filing Summary

Rocket Companies director Matthew Rizik reported compensation-related activity involving cash-settled restricted stock units and Class A common stock. On March 7, 2026, he exercised 14,796 cash-settled RSUs, which converted into 14,796 shares of Class A common stock at a stated price of $0.00 per share. A related “J” code entry shows an other acquisition or disposition of the same 14,796 Class A shares at $14.95 per share, leaving him with 1,038,536 Class A shares held directly afterward. The footnotes explain these RSUs were granted under the 2020 Omnibus Incentive Plan, vest in six semi-annual installments over three years, and settle in cash based on the fair market value of Rocket’s 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

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^*

Rizik Matthew

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/07/2025

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	09/07/2025		M		14,796	A	(1)	1,053,332	D
Class A common stock	09/07/2025		J(1)		14,796	D	$20.26	1,038,536	D
Class A common stock	03/07/2026		M		14,796	A	(1)	1,053,332	D
Class A common stock	03/07/2026		J(1)		14,796	D	$14.95	1,038,536	D
Class L-1 common stock								1,386,005	D
Class L-2 common stock								986,005	D
Class L-1 common stock								675,000	I	by grantor retained annuity trust (GRAT)
Class L-2 common stock								825,000	I	by grantor retained annuity trust (GRAT)
Class L-1 common stock								1,125,000	I	by grantor retained annuity trust (GRAT) no. 2(2)
Class L-2 common stock								1,375,000	I	by grantor retained annuity trust (GRAT) no. 2(2)

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
Cash-Settled Restricted Stock Units	(1)	09/07/2025		M			14,796	(1)	(1)	Class A common stock	14,796	$0	147,548	D
Cash-Settled Restricted Stock Units	(1)	03/07/2026		M			14,796	(1)	(1)	Class A common stock	14,796	$0	132,752	D

Explanation of Responses:

1. Represents the vesting and automatic settlement into cash of a portion of the Cash-Settled Restricted Stock Units ("Cash-Settled RSUs") previously 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 Cash-Settled RSU represents the right to receive a cash payment equal to the fair market value of a share of the Issuer's common stock on the settlement date. The Cash-Settled RSUs vest in six semi-annual installments over three years.

2. The Reporting Person is the trustee of the Matthew J. Rizik 2025 GRAT No. 2 (grantor retained annuity trust) and is the sole annuitant of the GRAT.

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.
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 transactions did Matthew Rizik report for Rocket Companies (RKT)?

Matthew Rizik reported an exercise of 14,796 cash-settled restricted stock units that converted into 14,796 shares of Class A common stock, followed by an other acquisition or disposition of the same 14,796 shares, all dated March 7, 2026, under Form 4.

How many Rocket Companies Class A shares does Matthew Rizik hold after these Form 4 transactions?

After the March 7, 2026 transactions, Matthew Rizik is shown holding 1,038,536 shares of Rocket Companies Class A common stock directly. The Form 4 also lists additional holdings in Class L-1 and Class L-2 common stock, including indirect holdings through grantor retained annuity trusts.

What are the terms of Matthew Rizik’s cash-settled RSUs reported at Rocket Companies (RKT)?

The cash-settled restricted stock units were granted under the Rocket Companies 2020 Omnibus Incentive Plan. Each unit represents a right to receive a cash payment equal to the fair market value of one share on the settlement date and vests in six semi-annual installments over three years.

At what price were Matthew Rizik’s Rocket Companies shares valued in the March 7, 2026 Form 4 entry?

The Form 4 shows an other acquisition or disposition of 14,796 Rocket Companies Class A shares at a transaction price of $14.95 per share. The related derivative exercise entries for cash-settled RSUs reflect a price of $0.00 per underlying share in the filing.

Does Matthew Rizik have indirect Rocket Companies holdings through trusts?

Yes. The Form 4 lists indirect holdings of Rocket Companies Class L-1 and Class L-2 common stock held by grantor retained annuity trusts, including the Matthew J. Rizik 2025 GRAT No. 2, where he is trustee and sole annuitant according to the footnote disclosure.

Are Matthew Rizik’s Rocket Companies RSU transactions open-market buys or sales?

No. The filing classifies the RSU-related entries with code M for exercise or conversion of derivative securities and describes them as vesting and automatic cash settlement under the company’s incentive plan, approved by independent directors and exempt under Rule 16b-3, not open-market trading.