Rocket Companies officer reports tax-share withholding

Rocket Companies, Inc. Chief Business Officer William D. Banfield reported a tax-related share disposition.

Rhea-AI Filing Summary

Rocket Companies, Inc. Chief Business Officer William D. Banfield reported a tax-related share disposition. On April 7, 2026, 8,056 shares of Class A common stock were forfeited at $15.03 per share to cover tax withholding obligations tied to vesting restricted stock units under the company’s 2020 Omnibus Incentive Plan. After this transaction, he directly holds 901,884 Class A shares. The filing also lists direct holdings of 2,826,979 shares of Class L-1 common stock and 2,826,979 shares of Class L-2 common stock as of the same date.

Insider Trade Summary

Exercise Price or Tax Liability: 8,056 shares

Exercise Price or Tax Liability 3 txns

Insider Banfield William D.

Role Chief Business Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Class A common stock	8,056	$15.03	$121K
holding	Class L-1 common stock	--	--	--
holding	Class L-2 common stock	--	--	--

Holdings After Transaction: Class A common stock — 901,884 shares (Direct); Class L-1 common stock — 2,826,979 shares (Direct); Class L-2 common stock — 2,826,979 shares (Direct)

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

Tax-withholding shares: 8,056 shares Withholding price: $15.03 per share Post-transaction Class A holding: 901,884 shares +2 more

5 metrics

Tax-withholding shares 8,056 shares Class A common stock forfeited on April 7, 2026

Withholding price $15.03 per share Value used for tax-withholding disposition

Post-transaction Class A holding 901,884 shares Class A common stock held directly after disposition

Class L-1 holding 2,826,979 shares Class L-1 common stock held directly as of April 7, 2026

Class L-2 holding 2,826,979 shares Class L-2 common stock held directly as of April 7, 2026

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, tax withholding obligations, Class A common stock, +2 more

6 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"

Class A common stock financial

"security_title": "Class A common stock""

Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.

Class L-1 common stock financial

"security_title": "Class L-1 common stock""

Class L-2 common stock financial

"security_title": "Class L-2 common stock""

FAQ

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

What insider transaction did Rocket Companies (RKT) report for William D. Banfield?

Rocket Companies reported that William D. Banfield had 8,056 Class A shares forfeited to cover tax withholding. This occurred upon vesting of restricted stock units granted under the 2020 Omnibus Incentive Plan and was not an open-market stock sale.

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

No, the transaction was a tax-withholding disposition, not an open-market sale. Shares were forfeited to satisfy tax obligations triggered by vesting restricted stock units granted under Rocket Companies’ 2020 Omnibus Incentive Plan.

How many Rocket Companies (RKT) Class A shares does William D. Banfield hold after the filing?

After the tax-withholding disposition, William D. Banfield directly holds 901,884 shares of Rocket Companies Class A common stock. This figure reflects his position following the forfeiture of 8,056 shares related to restricted stock unit vesting.

At what price were the Rocket Companies (RKT) shares valued for the tax withholding?

The 8,056 Rocket Companies Class A shares used for tax withholding were valued at $15.03 per share. This price is used solely for the tax-liability calculation tied to the vesting restricted stock units under the company’s 2020 Omnibus Incentive Plan.

What other Rocket Companies (RKT) share classes does William D. Banfield hold?

The filing lists William D. Banfield as directly holding 2,826,979 shares of Rocket Companies Class L-1 common stock and 2,826,979 shares of Class L-2 common stock as of the transaction date. These entries are reported as holdings, not new transactions.

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

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Accepted by SEC EDGAR 04/08/2026 - 04:11 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^*

Banfield William D.

(Last) (First) (Middle)

C/O ROCKET COMPANIES, INC.

1050 WOODWARD AVENUE

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/07/2026

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	04/07/2026		F(1)		8,056	D	$15.03	901,884	D
Class L-1 common stock								2,826,979	D
Class L-2 common stock								2,826,979	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. 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	04/08/2026
	** 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)