Rocket insider has 29K shares withheld for taxes

Rocket Companies’ president and CEO of Rocket Mortgage reported RSU-related tax withholding, retaining large direct and trust holdings in RKT Class A shares.

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) director and officer Jesse K. Bray reported a disposition of shares on September 7, 2026 related to equity compensation. Bray had 29,279 shares of Class A common stock withheld at $14.06 per share to satisfy tax withholding obligations upon the vesting of restricted stock units under the 2020 Omnibus Incentive Plan; this was not an open-market sale. After this tax-withholding event, he held 7,870,140 Class A shares directly and an additional 8,178,027 Class A shares indirectly through The Jesse K. Bray Living Trust. No transactions were reported under a Rule 10b5-1 trading plan.

Insider Trade Summary

Tax Withholding: 29,279 shares

Tax Withholding 2 txns

Insider Bray Jesse K

Role Pres & CEO, Rocket Mortgage

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock F1	29,279	$14.06	$412K
holding	Class A common stock	--	--	--

Holdings After Transaction: Class A common stock — 7,870,140 shares (Direct); Class A common stock — 8,178,027 shares (Indirect, By The Jesse K. Bray Living Trust)

Footnotes (1)

1. F1. 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.

Key Figures

Shares withheld for tax: 29,279 shares Tax withholding reference price: $14.06 per share Direct Class A holdings after transaction: 7,870,140 shares +1 more

4 metrics

Shares withheld for tax 29,279 shares Class A common stock forfeited on September 7, 2026 to pay tax withholding on RSU vesting

Tax withholding reference price $14.06 per share Value used for the 29,279 Class A shares withheld on September 7, 2026

Direct Class A holdings after transaction 7,870,140 shares Direct ownership by Jesse K. Bray following the September 7, 2026 tax-withholding event

Indirect Class A holdings through trust 8,178,027 shares Indirect ownership by The Jesse K. Bray Living Trust as reported on the Form 4

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, tax withholding obligations, indirect ownership

4 terms

restricted stock units financial

"upon the vesting of restricted stock units granted by the Issuer"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

2020 Omnibus Incentive Plan financial

"granted by the Issuer under its 2020 Omnibus Incentive Plan"

tax withholding obligations financial

"shares forfeited to pay tax withholding obligations upon the vesting"

indirect ownership financial

"shares held indirectly by The Jesse K. Bray Living Trust"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Rocket Companies (RKT) insider Jesse K. Bray report on this Form 4?

Jesse K. Bray reported that 29,279 Class A shares of Rocket Companies were withheld on September 7, 2026 to cover tax withholding obligations arising from the vesting of restricted stock units under the 2020 Omnibus Incentive Plan.

Was the Rocket Companies (RKT) insider transaction an open-market sale?

No. The 29,279 shares were forfeited to pay tax withholding obligations tied to RSU vesting, as disclosed in the footnote. The Form 4 describes it as payment of tax liability by delivering or withholding securities, not a market sale.

How many Rocket Companies (RKT) shares does Jesse K. Bray hold directly after the transaction?

Following the September 7, 2026 tax-withholding event, Jesse K. Bray held 7,870,140 shares of Rocket Companies Class A common stock in direct ownership, according to the reported post-transaction holdings.

What are Jesse K. Bray’s indirect holdings of Rocket Companies (RKT) shares?

In addition to his direct holdings, Jesse K. Bray is reported as holding 8,178,027 Class A shares indirectly through The Jesse K. Bray Living Trust, as shown in the Form 4 holding entry.

Was the Rocket Companies (RKT) Form 4 transaction under a Rule 10b5-1 trading plan?

No. The Form 4 indicates that no Rule 10b5-1 trading plan was affirmed for these reported transactions; the tax-withholding related share disposition was not reported as occurring under such a plan.

What price per share was used for the Rocket Companies (RKT) tax-withholding shares?

The 29,279 Class A shares withheld for tax obligations were valued at $14.06 per share, as reported in the Form 4 for the September 7, 2026 transaction.

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

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Available on EDGAR 09/09/2026 - 07:12 PM EDT Accepted by SEC EDGAR 09/09/2026 - 07:12 PM EDT 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^*

Bray Jesse K

(Last) (First) (Middle)

C/O ROCKET COMPANIES, INC.

1050 WOODWARD AVE.

(Street)

DETROIT MICHIGAN 48226

(City) (State) (Zip)

UNITED STATES

(Country)

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
X	Officer (give title below)		Other (specify below)
	Pres & CEO, Rocket Mortgage

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/07/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	09/07/2026		F(1)		29,279	D	$14.06	7,870,140	D
Class A common stock								8,178,027	I	By The Jesse K. Bray Living Trust

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. 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	09/09/2026
	** 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.
* Form 4: SEC 1474 (03-26)