Rocket Companies Inc SEC Filings

Rocket Companies (RKT): Schedule 13D/A Amendment No. 1 updates beneficial ownership following share issuances, including consideration for the Mr. Cooper acquisition. Daniel Gilbert reports beneficial ownership of 1,608,089,722 shares, representing 57.12% of the Class A common stock base used in this filing. He has sole voting and dispositive power over 996,832,276 shares, with shared voting power over 611,257,446 shares and shared dispositive power over 140,215,280 shares.

Jennifer Gilbert reports beneficial ownership of 314,055,385 shares (11.16%). Daniel Gilbert Trust #1 u/a/d 8/23/16 reports 140,215,280 shares (4.98%) and ceased to be a beneficial owner of more than five percent on October 10, 2025. The percentage calculations are based on 2,815,342,810 shares, comprising outstanding Class A shares, Class A shares issuable upon conversion of Class L shares, and shares issued in the Mr. Cooper transaction.

Rocket Companies, Inc. (RKT) reporting person Jonathan Mildenhall, the Chief Marketing Officer and an officer, was granted 154,130 restricted stock units (RSUs) on 10/08/2025. Each RSU represents the right to one share of Class A common stock and the grant was made under the 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. The RSUs vest in six equal, semi-annual installments over three years with the first vesting on 04/07/2026, subject to continued employment. After the grant, the reporting person beneficially owned 728,640 shares of Class A common stock.

Brian N. Brown, Chief Financial Officer and Treasurer of Rocket Companies, Inc. (RKT), reported receipt of 215,782 restricted stock units (RSUs) on 10/08/2025 in a grant priced at $0. Each RSU converts to one share of Class A common stock upon vesting. After the grant the reporting person beneficially owns 1,005,601 shares. The RSUs vest in six equal semi-annual installments over three years, beginning on 04/07/2026 and thereafter each 10/07 and 04/07 until fully vested, subject to continued employment. The grant was exempt under Rule 16b-3.

Rocket Companies, Inc. Chief Technology Officer Shawn Malhotra received a grant of 154,130 restricted stock units (RSUs) on 10/08/2025 under the 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Each RSU converts to one share of Class A common stock upon vesting. The RSUs vest in six equal semi-annual installments over three years, beginning 04/07/2026, subject to continued employment. After the grant, the reporting person beneficially owns 788,066 shares of Class A common stock. The filing was submitted as a Form 4 by one reporting person and signed on 10/10/2025.

Noah A. Edwards, Chief Accounting Officer of Rocket Companies, Inc. (RKT), was granted 30,826 restricted stock units (RSUs) on 10/08/2025. The award is exempt under Rule 16b-3 and carries a $0 grant price; each RSU converts to one share of Class A common stock upon vesting. Following the grant, the reporting person beneficially owns 118,636 shares. The RSUs vest in six equal semi-annual installments over three years, with the initial vesting on 04/07/2026, subject to continued employment. The Form 4 was filed by one reporting person and signed on 10/10/2025.

Rocket Companies, Inc. (RKT) reported an award of 107,891 restricted stock units (RSUs) to Heather M. Lovier, its Chief Operating Officer, in a transaction dated 10/08/2025. Each RSU converts to one share of Class A common stock upon vesting and the grant was made under the 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. The RSUs carry a grant price of $0 to the reporting person and will vest in six equal, semi-annual installments over three years, with the initial vesting on 04/07/2026 and subsequent vesting each April 7 and October 7. Following the grant, the reporting person beneficially owns 707,694 shares of Class A common stock. The filing was signed on 10/10/2025 by an attorney-in-fact.

William D. Banfield, Chief Business Officer and officer of Rocket Companies, Inc. (RKT), received a grant of 107,891 restricted stock units (RSUs) on 10/08/2025. Each RSU represents the contingent right to one share of Class A common stock and the award was granted at a price of $0. The RSUs vest in six equal, semi‑annual installments over three years, with the first vesting date on 04/07/2026 and subsequent vesting on each April 7 and October 7 thereafter, subject to continued employment.

Following the grant, the reporting person beneficially owns 719,880 shares. The grant was reported on Form 4 and the transaction was made under the 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b‑3.

Jesse K. Bray, President & CEO of Rocket Mortgage and director of Rocket Companies, Inc. (RKT), reported multiple acquisitions of Rocket Class A common stock on 10/01/2025 tied to the closing of Rocket's acquisition of Mr. Cooper.

Pursuant to the merger terms each Mr. Cooper share converted into 11.0 Rocket Class A shares and restricted stock units (RSUs) of Mr. Cooper converted into Rocket RSUs with the same time-based vesting. The Form 4/A shows total beneficial ownership of 10,038,351 Class A shares following the transactions and notes a separate grant of 816,743 Rocket RSUs that vest in six equal semi-annual installments beginning 10/01/2025. The filing was amended to correct an earlier clerical overstatement of the securities acquired.