Rocket Companies (RKT) CTO uses 13,751 shares to cover RSU tax

Rhea-AI Filing Summary

Rocket Companies, Inc. Chief Technology Officer Shawn Malhotra reported a routine tax-related share disposition. On the vesting of restricted stock units granted under the company’s 2020 Omnibus Incentive Plan, 13,751 shares of Class A common stock were forfeited to cover tax withholding obligations. Following this withholding event, Malhotra holds 957,755 shares of Class A common stock directly.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Malhotra Shawn

Role Chief Technology Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock	13,751	$15.03	$207K

Holdings After Transaction: Class A common stock — 957,755 shares (Direct)

Footnotes (1)

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Key Figures

Shares forfeited for taxes: 13,751 shares Imputed price per share: $15.03 per share Shares after transaction: 957,755 shares +1 more

4 metrics

Shares forfeited for taxes 13,751 shares Tax withholding on RSU vesting

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

Shares after transaction 957,755 shares Direct Class A holdings following disposition

Tax-withholding shares (summary) 13,751 shares TaxWithholdingShares in transaction summary

Key Terms

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

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"

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.

Form 4 Insider Transactions: What Each Field Means →

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^*

Malhotra Shawn

(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 Technology 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)		13,751	D	$15.03	957,755	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)

FAQ

What insider transaction did Rocket Companies (RKT) report for Shawn Malhotra?

Rocket Companies reported that CTO Shawn Malhotra had 13,751 Class A shares withheld to satisfy tax obligations on vested restricted stock units. This was a tax-withholding disposition, not an open-market sale, and it occurred in connection with equity compensation.

Was the Rocket Companies (RKT) insider transaction a share sale in the market?

No, the transaction was not a market sale. Shares were forfeited to pay tax withholding obligations when restricted stock units vested under Rocket Companies’ 2020 Omnibus Incentive Plan, which is a standard compensation-related mechanism rather than a discretionary trade.

How many Rocket Companies (RKT) shares were involved in the tax withholding event?

The filing shows 13,751 shares of Rocket Companies Class A common stock were forfeited. These shares were used to satisfy tax withholding obligations tied to the vesting of restricted stock units awarded as part of the company’s long-term incentive compensation.

How many Rocket Companies (RKT) shares does Shawn Malhotra hold after this transaction?

After the tax-withholding disposition, Shawn Malhotra directly holds 957,755 shares of Rocket Companies Class A common stock. This post-transaction holding reflects his remaining equity position following the use of shares to cover related tax obligations on vested awards.

What plan governed the restricted stock units in the Rocket Companies (RKT) filing?

The restricted stock units were granted under Rocket Companies’ 2020 Omnibus Incentive Plan. This plan provides equity-based compensation to executives and employees, and the reported share forfeiture covered tax withholding upon the vesting of those RSU awards.