Rocket Companies CFO forfeits 16,112 shares for taxes

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) disclosed that President & Chief Fin Officer Brian Nicholas Brown forfeited 16,112 Class A common shares to pay tax withholding obligations upon the vesting of restricted stock units granted under the company’s 2020 Omnibus Incentive Plan on October 7, 2026. The reported price was $11.59 per share. Brown’s direct Class A holdings after the transaction were 1,607,954 shares; a separate direct holding entry lists 395,777 Class L-2 common shares.

Insider Trade Summary

Tax Withholding: 16,112 shares

Tax Withholding 2 txns

Insider Brown Brian Nicholas

Role President & Chief Fin Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock F1	16,112	$11.59	$187K
holding	Class L-2 common stock	--	--	--

Holdings After Transaction: Class A common stock — 1,607,954 shares (Direct); Class L-2 common stock — 395,777 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

Class A shares forfeited: 16,112 shares Reported price per share: $11.59 per share Direct Class A holdings after transaction: 1,607,954 shares +1 more

4 metrics

Class A shares forfeited 16,112 shares For tax withholding obligations on October 7, 2026

Reported price per share $11.59 per share Class A common stock transaction on October 7, 2026

Direct Class A holdings after transaction 1,607,954 shares October 7, 2026

Direct Class L-2 holdings 395,777 shares Holding entry dated October 7, 2026

Key Terms

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

3 terms

tax withholding obligations financial

"to pay tax withholding obligations upon the vesting"

restricted stock units financial

"upon the vesting of restricted stock units granted"

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

"under its 2020 Omnibus Incentive Plan"

FAQ

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

How many RKT shares did Brian Nicholas Brown forfeit for tax withholding?

Brian Nicholas Brown forfeited 16,112 Class A common shares to pay tax withholding obligations upon vesting of restricted stock units on October 7, 2026. The reported price was $11.59 per share.

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

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Available on EDGAR 10/08/2026 - 04:11 PM Accepted by SEC EDGAR 10/08/2026 - 04:10 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 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)
	President & Chief Fin Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/07/2026

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	10/07/2026		F(1)		16,112	D	$11.59	1,607,954	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. 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	10/08/2026
	** 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)