Rocket CEO forfeits 185K shares for taxes

Rocket Companies’ CEO had shares withheld over two days in September 2026 to cover taxes due on vested restricted stock units.

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

Rhea-AI Filing Summary

Rocket Companies, Inc. (RKT) reported that Chief Executive Officer and director Krishna Varun surrendered a total of 185,258 shares of Class A common stock on September 7 and September 8, 2026. These shares were withheld to satisfy tax withholding obligations arising from the vesting of restricted stock units granted under the company’s 2020 Omnibus Incentive Plan. No open‑market purchases or sales were reported, and no Rule 10b5-1 trading plan is indicated.

Insider Trade Summary

Tax Withholding: 185,258 shares

Tax Withholding 2 txns

Insider Krishna Varun

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock F1	58,259	$14.06	$819K
Tax Withholding	Class A common stock F1	126,999	$14.06	$1.79M

Holdings After Transaction: Class A common stock — 1,958,664 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

Shares withheld for taxes on September 7, 2026: 126,999 shares of Class A common stock Shares withheld for taxes on September 8, 2026: 58,259 shares of Class A common stock Total shares applied to tax withholding: 185,258 shares of Class A common stock +1 more

4 metrics

Shares withheld for taxes on September 7, 2026 126,999 shares of Class A common stock Delivered or withheld to satisfy tax withholding obligations on vested restricted stock units

Shares withheld for taxes on September 8, 2026 58,259 shares of Class A common stock Delivered or withheld to satisfy tax withholding obligations on vested restricted stock units

Total shares applied to tax withholding 185,258 shares of Class A common stock Combined September 7 and 8, 2026 tax-withholding dispositions

Reference price per share $14.06 per share Price used for both September 7 and 8, 2026 tax-withholding share dispositions

Key Terms

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

3 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"

FAQ

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

What insider transaction did Rocket Companies (RKT) disclose for CEO Krishna Varun?

Rocket Companies disclosed that CEO Krishna Varun had 185,258 shares of Class A common stock withheld on September 7 and 8, 2026 to cover tax withholding obligations from vesting restricted stock units under the 2020 Omnibus Incentive Plan.

Were Rocket Companies (RKT) shares sold on the open market in this Form 4?

No. The Form 4 reports share dispositions solely to satisfy tax withholding obligations upon vesting of restricted stock units. There is no indication of open‑market purchases or sales of Rocket Companies Class A common stock in this filing.

How many Rocket Companies (RKT) shares were used to cover CEO tax obligations?

A total of 185,258 shares of Rocket Companies Class A common stock were withheld to satisfy tax withholding obligations, consisting of 126,999 shares on September 7, 2026 and 58,259 shares on September 8, 2026.

What price per share applied to the Rocket Companies (RKT) tax-withholding transactions?

Both transactions used a price of $14.06 per share for the Class A common stock withheld on September 7, 2026 and September 8, 2026 in connection with the payment of tax withholding obligations on vested restricted stock units.

Were the Rocket Companies (RKT) tax-withholding transactions under a Rule 10b5-1 plan?

No. The filing does not report that these transactions were made under a Rule 10b5-1 trading plan; the document-level checkbox indicating such a plan is not selected for this Form 4.

What equity award plan is involved in the Rocket Companies (RKT) Form 4?

The Form 4 states that the withheld shares relate to the vesting of restricted stock units granted under the 2020 Omnibus Incentive Plan of Rocket Companies, Inc., and that the shares were forfeited to meet associated tax withholding obligations.

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

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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^*

Krishna Varun

(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)

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

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)		126,999	D	$14.06	2,016,923	D
Class A common stock	09/08/2026		F(1)		58,259	D	$14.06	1,958,664	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	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)