Rocket Companies (RKT) CFO forfeits shares to cover RSU tax obligations

Rhea-AI Filing Summary

Rocket Companies, Inc. President & Chief Financial Officer Brian Nicholas Brown had 16,112 shares of Class A common stock forfeited at $15.03 per share to cover tax withholding on vesting restricted stock units under the company’s 2020 Omnibus Incentive Plan.

After this tax-related disposition, he directly holds 1,287,006 Class A shares, plus 395,777 shares of Class L-1 common stock and 395,777 shares of Class L-2 common stock, indicating the event is compensation- and tax-driven rather than an open-market trade.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Brown Brian Nicholas

Role President & Chief Fin Officer

Type	Security	Shares	Price	Value
Tax Withholding	Class A common stock	16,112	$15.03	$242K
holding	Class L-1 common stock	--	--	--
holding	Class L-2 common stock	--	--	--

Holdings After Transaction: Class A common stock — 1,287,006 shares (Direct); Class L-1 common stock — 395,777 shares (Direct); Class L-2 common stock — 395,777 shares (Direct)

Footnotes (1)

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Key Figures

Tax withholding shares: 16,112 shares Withholding price: $15.03 per share Class A holdings after: 1,287,006 shares +2 more

5 metrics

Tax withholding shares 16,112 shares Class A common stock forfeited to cover RSU tax obligations

Withholding price $15.03 per share Value used for 16,112 Class A shares forfeited

Class A holdings after 1,287,006 shares Direct Class A common stock held after tax-withholding disposition

Class L-1 holdings 395,777 shares Direct Class L-1 common stock position as of transaction date

Class L-2 holdings 395,777 shares Direct Class L-2 common stock position as of transaction date

Key Terms

restricted stock units, 2020 Omnibus Incentive Plan, tax withholding obligations, Class A common stock, +1 more

5 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

"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 regulatory

"INSIDER FILING DATA (Form 4)"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

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^*

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)
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)		16,112	D	$15.03	1,287,006	D
Class L-1 common stock								395,777	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	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 did Rocket Companies (RKT) executive Brian Brown do in this Form 4?

Brian Brown had 16,112 shares of Class A common stock forfeited to cover tax withholding on vested restricted stock units. This was a compensation-related tax event, not an open-market stock sale, and reflects routine handling of equity award taxes.

How many Rocket Companies (RKT) shares were used for tax withholding?

A total of 16,112 Class A common shares were forfeited at $15.03 per share to satisfy tax withholding obligations. This occurred when restricted stock units vested under Rocket Companies’ 2020 Omnibus Incentive Plan, reducing the need for cash tax payments.

How many Rocket Companies (RKT) Class A shares does Brian Brown hold after the transaction?

Following the tax-withholding disposition, Brian Brown directly holds 1,287,006 shares of Rocket Companies Class A common stock. This large remaining position shows the event was a small, routine adjustment tied to equity award taxation, not a significant reduction in ownership.

What are Brian Brown’s holdings of Rocket Companies (RKT) Class L-1 and L-2 stock?

In addition to Class A shares, Brian Brown directly holds 395,777 shares of Class L-1 common stock and 395,777 shares of Class L-2 common stock. These holdings were reported as of the same date, providing a broader view of his overall equity stake in Rocket.

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

No. The filing describes a tax-withholding disposition where 16,112 shares were forfeited to cover taxes on vested restricted stock units. This type of transaction is a mechanical, compensation-related event rather than a discretionary open-market sale of shares by the executive.