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RKT

Rocket Companies, Inc.

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3094
SEC CIK
0001805284
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389

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0 purchase rows · 45 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 2025013
Dec 2025022
Jan 202607
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202601
Oct 202602

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 30, 2025 Filed Jul 2, 2025 22:07 UTC GrantClass L-1 common stock 3,186,005 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001817 · es250645233_4-rizik.xml · nonDerivative · entry 1

Rizik Matthew · CIK 0001817213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,186,005

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:09 UTC
Rock Holdings Inc.Director · 10% owner
Disposition to issuerNon-voting common interest units of Rocket LP · Derivative 800,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950142-25-001818 · es250645234_4-rhi.xml · derivative · entry 4

Rock Holdings Inc. · CIK 0001733664 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B common stock and Class A common stock · 800,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

F3 · price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F3 · derivative.exercise_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F3 · derivative.expiration_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F2 · ownership.nature: Directly owned by a wholly-owned subsidiary of RHI. Following the Up-C Collapse, this entity no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:09 UTC
Rock Holdings Inc.Director · 10% owner
Disposition to issuerNon-voting common interest units of Rocket LP · Derivative 1,846,977,661 Not disclosed Not disclosed
Disclosure

SEC source: 0000950142-25-001818 · es250645234_4-rhi.xml · derivative · entry 3

Rock Holdings Inc. · CIK 0001733664 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B common stock and Class A common stock · 1,846,977,661 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

F3 · price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F3 · derivative.exercise_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F3 · derivative.expiration_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP"), RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:09 UTC
Rock Holdings Inc.Director · 10% owner
Disposition to issuerClass D common stock 800,000 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001818 · es250645234_4-rhi.xml · nonDerivative · entry 2

Rock Holdings Inc. · CIK 0001733664 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

F2 · ownership.nature: Directly owned by a wholly-owned subsidiary of RHI. Following the Up-C Collapse, this entity no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:09 UTC
Rock Holdings Inc.Director · 10% owner
Disposition to issuerClass D common stock 1,846,977,661 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001818 · es250645234_4-rhi.xml · nonDerivative · entry 1

Rock Holdings Inc. · CIK 0001733664 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerNon-voting common interest units of Rocket LP · Derivative 800,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · derivative · entry 10

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B common stock and Class A common stock · 800,000 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F1 · price: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · price: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · price: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F7 · derivative.exercise_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F7 · derivative.expiration_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F6 · ownership.nature: Directly owned by a wholly-owned subsidiary of RHI. Prior to the Up-C Collapse, Dan Gilbert was the majority shareholder of RHI and had voting and dispositive control and beneficial ownership with respect to these shares. Following the Up-C Collapse, this entity no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerNon-voting common interest units of Rocket LP · Derivative 1,846,977,661 Not disclosed Not disclosed
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · derivative · entry 9

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B common stock and Class A common stock · 1,846,977,661 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F1 · price: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · price: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · price: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F7 · derivative.exercise_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F7 · derivative.expiration_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F5 · ownership.nature: Directly owned by RHI. Prior to the Up-C Collapse, Dan Gilbert was the majority shareholder of RHI and had voting and dispositive control and beneficial ownership with respect to the shares of Rocket's common stock held of record by RHI. Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerNon-voting common interest units of Rocket LP · Derivative 1,101,822 Not disclosed Not disclosed
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · derivative · entry 8

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B common stock and Class A common stock · 1,101,822 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F1 · price: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · price: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · price: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F7 · derivative.exercise_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

F7 · derivative.expiration_date: Pursuant to the terms of the Exchange Agreement, dated as of August 5, 2020, by and among the Issuer, Rocket LP, RHI, Daniel Gilbert and the holders of Holding Units and shares of Class C common stock or Class D common stock from time to time party thereto (the "Exchange Agreement"), Holdings Units, together with a corresponding number of shares of Class D common stock or Class C common stock, could be exchanged for, at the option of the Issuer, (i) shares of Class B common stock or Class A common stock of the Issuer, as applicable, on a one-for-one basis, or (ii) cash from a substantially concurrent public offering or private sale (based on the price of the Class A common stock in such public offering or private sale), subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. The Exchange Agreement was terminated as part of the Up-C Collapse.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerClass D common stock 800,000 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 7

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F6 · ownership.nature: Directly owned by a wholly-owned subsidiary of RHI. Prior to the Up-C Collapse, Dan Gilbert was the majority shareholder of RHI and had voting and dispositive control and beneficial ownership with respect to these shares. Following the Up-C Collapse, this entity no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerClass D common stock 1,846,977,661 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 6

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F5 · ownership.nature: Directly owned by RHI. Prior to the Up-C Collapse, Dan Gilbert was the majority shareholder of RHI and had voting and dispositive control and beneficial ownership with respect to the shares of Rocket's common stock held of record by RHI. Following the Up-C Collapse, RHI no longer holds any securities of the Issuer.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
Disposition to issuerClass D common stock 1,101,822 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 5

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
GrantClass L-2 common stock 70,107,640 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 4

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 70,107,640

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F4 · ownership.nature: Directly owned by Daniel Gilbert Trust #1 u/a/d 8/23/16, a revocable trust for the benefit of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
GrantClass L-1 common stock 70,107,640 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 3

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 70,107,640

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F4 · ownership.nature: Directly owned by Daniel Gilbert Trust #1 u/a/d 8/23/16, a revocable trust for the benefit of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
GrantClass L-2 common stock 498,416,138 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 2

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 498,416,138

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 22:00 UTC
Gilbert Daniel BDirector · 10% owner
GrantClass L-1 common stock 498,416,138 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001814 · es250645229_4-gilbertd.xml · nonDerivative · entry 1

Gilbert Daniel B · CIK 0001569007 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 498,416,138

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). Additionally, pursuant to the Transaction Agreement, (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Daniel Gilbert contributed and transferred to Rocket his shares of Rocket Class D common stock, par value $0.00001 per share ("Class D common stock") and corresponding non-voting common interest units of Rocket Limited Partnership (as successor in interest to Rocket, LLC) ("Rocket LP") and received shares of Class L Common Stock on a one-to-one basis. Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-2 common stock 1,413,490 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 6

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,413,490

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F6 · ownership.nature: Directly owned by Sean William Emerson 2012 Irrevocable Trust u/a 12/19/2012, a trust of which the Reporting Person's spouse is the trustee, the beneficiary of which is an immediate family member of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-1 common stock 1,413,489 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 5

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,413,489

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F6 · ownership.nature: Directly owned by Sean William Emerson 2012 Irrevocable Trust u/a 12/19/2012, a trust of which the Reporting Person's spouse is the trustee, the beneficiary of which is an immediate family member of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-2 common stock 1,413,490 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 4

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,413,490

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F5 · ownership.nature: Directly owned by Nicole Christine Emerson 2012 Irrevocable Trust u/a 12/19/2012, a trust of which the Reporting Person's spouse is the trustee, the beneficiary of which is an immediate family member of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-1 common stock 1,413,489 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 3

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,413,489

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F5 · ownership.nature: Directly owned by Nicole Christine Emerson 2012 Irrevocable Trust u/a 12/19/2012, a trust of which the Reporting Person's spouse is the trustee, the beneficiary of which is an immediate family member of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-2 common stock 14,134,896 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 2

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 14,134,896

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F4 · ownership.nature: Directly owned by the William C. Emerson Trust, a trust of which the Reporting Person is a trustee and the beneficiaries of which are immediate family members of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:58 UTC
Emerson William C.Director · President
GrantClass L-1 common stock 14,134,895 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001813 · es250645227_4-emerson.xml · nonDerivative · entry 1

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 14,134,895

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

F4 · ownership.nature: Directly owned by the William C. Emerson Trust, a trust of which the Reporting Person is a trustee and the beneficiaries of which are immediate family members of the Reporting Person.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:53 UTC
Brown Brian NicholasChief Fin. Officer & Treasurer
GrantClass L-2 common stock 395,777 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001812 · es250645224_4-brown.xml · nonDerivative · entry 2

Brown Brian Nicholas · CIK 0001820672 · Chief Fin. Officer & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395,777

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 30, 2025 Filed Jul 2, 2025 21:53 UTC
Brown Brian NicholasChief Fin. Officer & Treasurer
GrantClass L-1 common stock 395,777 $0.00 $0.00
Disclosure

SEC source: 0000950142-25-001812 · es250645224_4-brown.xml · nonDerivative · entry 1

Brown Brian Nicholas · CIK 0001820672 · Chief Fin. Officer & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395,777

F1 · shares: On June 30, 2025, Rocket Companies, Inc. ("Rocket") completed the collapse of its "Up-C" structure (the "Up-C Collapse") pursuant to the Transaction Agreement, by and among Rocket, Rock Holdings Inc. ("RHI"), Eclipse Sub, Inc., Rocket GP, LLC, Daniel Gilbert and RHI II, LLC. Pursuant to the Transaction Agreement, each RHI shareholder, in consideration for its voting common shares of RHI, par value $0.001 per share (the "RHI Shares"), received for each RHI Share 56.54 newly issued shares of Rocket Class L common stock, par value $0.00001 per share (the "Class L Common Stock"), half of which are designated Class L-1 Common Stock, par value $0.00001 per share ("Class L-1 Common Stock"), and half of which are designated Class L-2 Common Stock, par value $0.00001 per share ("Class L-2 Common Stock"). (Cont'd in FN2)

F2 · shares: (Cont'd from FN1) Subject to certain limited exceptions as provided in Rocket's certificate of incorporation, (i) holders of Class L-1 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2026, and (ii) holders of Class L-2 Common Stock are prohibited from transferring or otherwise disposing of such shares prior to June 30, 2027. Following June 30, 2026, each share of Class L-1 common stock (i) may be converted at any time, at the option of the holder, into one share of Rocket Class A common stock, par value $0.00001 per share ("Class A Common Stock"), and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. (Cont'd in FN3)

F3 · shares: (Cont'd from FN2) Following June 30, 2027, each share of Class L-2 Common Stock (i) may be converted at any time, at the option of the holder, into one share of Class A Common Stock and (ii) will automatically convert into one share of Rocket Class A Common Stock immediately prior to any transfer of such share, except for certain permitted transfers that are described in Rocket's certificate of incorporation. In addition, upon the later to occur of (A) June 30, 2027 and (B) the date that the outstanding shares of Class L Common Stock no longer represent at least 79% of the total voting power of the issued and outstanding shares of Rocket common stock, all shares of Class L Common Stock will automatically convert to newly issued shares of Class A Common Stock.

Read SEC document
June 11, 2025 Filed Jun 13, 2025 20:19 UTC GrantClass A common stock 15,704 $13.69 $214,987.76
Disclosure

SEC source: 0001805284-25-000079 · wk-form4_1749845972.xml · nonDerivative · entry 1

MARINER JONATHAN D · CIK 0001063663 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,988

F1 · shares: Represents restricted stock units ("RSUs") granted to the filing person on June 11, 2025 under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs vest on the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders.

Read SEC document
June 11, 2025 Filed Jun 13, 2025 20:19 UTC GrantClass A common stock 15,704 $13.69 $214,987.76
Disclosure

SEC source: 0001805284-25-000078 · wk-form4_1749845962.xml · nonDerivative · entry 1

Rampell Alastair · CIK 0001660056 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,327

F1 · shares: Represents restricted stock units ("RSUs") granted to the filing person on June 11, 2025 under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs vest on the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders.

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June 11, 2025 Filed Jun 13, 2025 20:19 UTC GrantClass A common stock 15,704 $13.69 $214,987.76
Disclosure

SEC source: 0001805284-25-000077 · wk-form4_1749845951.xml · nonDerivative · entry 1

SHANK SUZANNE F. · CIK 0001713197 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,246

F1 · shares: Represents restricted stock units ("RSUs") granted to the filing person on June 11, 2025 under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs vest on the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders.

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May 06, 2025 Filed May 8, 2025 20:24 UTC
Malhotra ShawnChief Technology Officer
Tax withholdingClass A common stock 51,683 $11.53 $595,904.99
Disclosure

SEC source: 0001805284-25-000060 · wk-form4_1746735872.xml · nonDerivative · entry 1

Malhotra Shawn · CIK 0002028112 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 649,494

F1 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 96,548 restricted stock units granted to the Reporting Person on May 6, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Banfield William D.Chief Business Officer
Tax withholdingClass A common stock 47,795 $15.77 $753,727.15
Disclosure

SEC source: 0001805284-25-000034 · wk-form4_1741724076.xml · nonDerivative · entry 2

Banfield William D. · CIK 0002028108 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 655,821

F3 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 110,480 restricted stock units granted to the Reporting Person on March 7, 2022, September 28, 2023, March 7, 2024, and August 26, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Banfield William D.Chief Business Officer
GrantClass A common stock 168,040 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000034 · wk-form4_1741724076.xml · nonDerivative · entry 1

Banfield William D. · CIK 0002028108 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 703,616

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

F2 · balance_after: The total number of shares of Class A common stock beneficially owned by the Reporting Person is being amended to remove 36,699 shares inadvertently included in the Form 3 filed by the Reporting Person on July 1, 2024 and in the Form 4s filed by the Reporting Person on August 28, 2024 and September 11, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Malhotra ShawnChief Technology Officer
GrantClass A common stock 174,381 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000030 · wk-form4_1741724033.xml · nonDerivative · entry 1

Malhotra Shawn · CIK 0002028112 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 701,177

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

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March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Lovier Heather M.Chief Operating Officer
Tax withholdingClass A common stock 34,648 $15.77 $546,398.96
Disclosure

SEC source: 0001805284-25-000032 · wk-form4_1741724055.xml · nonDerivative · entry 2

Lovier Heather M. · CIK 0002028260 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 642,740

F3 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 78,967 restricted stock units granted to the Reporting Person on March 7, 2022, September 28, 2023, March 7, 2024, and August 26, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Lovier Heather M.Chief Operating Officer
GrantClass A common stock 174,381 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000032 · wk-form4_1741724055.xml · nonDerivative · entry 1

Lovier Heather M. · CIK 0002028260 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 677,388

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

F2 · balance_after: The total number of shares of Class A common stock beneficially owned by the Reporting Person is being amended to remove 30,376 shares inadvertently included in the Form 3 filed by the Reporting Person on July 1, 2024 and in the Form 4s filed by the Reporting Person on August 28, 2024 and September 11, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Edwards Noah A.Chief Accounting Officer
Tax withholdingClass A common stock 3,240 $15.77 $51,094.80
Disclosure

SEC source: 0001805284-25-000037 · wk-form4_1741724109.xml · nonDerivative · entry 2

Edwards Noah A. · CIK 0002017416 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,148

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 8,311 restricted stock units granted to the Reporting Person on September 28, 2023 and March 7, 2024.

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March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Edwards Noah A.Chief Accounting Officer
GrantClass A common stock 50,729 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000037 · wk-form4_1741724109.xml · nonDerivative · entry 1

Edwards Noah A. · CIK 0002017416 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,388

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

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March 07, 2025 Filed Mar 11, 2025 16:15 UTC
John Tina V.Exe Legal Counsel & Secretary
Tax withholdingClass A common stock 5,870 $15.77 $92,569.90
Disclosure

SEC source: 0001805284-25-000036 · wk-form4_1741724098.xml · nonDerivative · entry 2

John Tina V. · CIK 0001948779 · Exe Legal Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,521

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 13,102 restricted stock units granted to the Reporting Person on March 8, 2024.

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March 07, 2025 Filed Mar 11, 2025 16:15 UTC
John Tina V.Exe Legal Counsel & Secretary
GrantClass A common stock 95,117 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000036 · wk-form4_1741724098.xml · nonDerivative · entry 1

John Tina V. · CIK 0001948779 · Exe Legal Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,391

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC GrantCash-Settled Restricted Stock Units · Derivative 88,776 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000031 · wk-form4_1741724045.xml · derivative · entry 2

Rizik Matthew · CIK 0001817213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,776

Underlying: Class A common stock · 88,776 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents Cash-Settled Restricted Stock Units ("Cash-Settled RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each Cash-Settled RSU represents the right to receive a cash payment equal to the fair market value of a share of the Issuer's common stock on the settlement date. The Cash-Settled RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued service on the applicable vesting date.

F2 · derivative.exercise_date: Represents Cash-Settled Restricted Stock Units ("Cash-Settled RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each Cash-Settled RSU represents the right to receive a cash payment equal to the fair market value of a share of the Issuer's common stock on the settlement date. The Cash-Settled RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued service on the applicable vesting date.

F2 · derivative.expiration_date: Represents Cash-Settled Restricted Stock Units ("Cash-Settled RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each Cash-Settled RSU represents the right to receive a cash payment equal to the fair market value of a share of the Issuer's common stock on the settlement date. The Cash-Settled RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued service on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC GrantClass A common stock 133,164 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000031 · wk-form4_1741724045.xml · nonDerivative · entry 1

Rizik Matthew · CIK 0001817213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,033,184

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued service on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Mildenhall JonathanChief Marketing Officer
Tax withholdingClass A common stock 46,321 $15.77 $730,482.17
Disclosure

SEC source: 0001805284-25-000039 · wk-form4_1741724130.xml · nonDerivative · entry 2

Mildenhall Jonathan · CIK 0001828806 · Chief Marketing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 635,264

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 92,299 restricted stock units granted to the Reporting Person on March 7, 2024.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Mildenhall JonathanChief Marketing Officer
GrantClass A common stock 174,381 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000039 · wk-form4_1741724130.xml · nonDerivative · entry 1

Mildenhall Jonathan · CIK 0001828806 · Chief Marketing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 681,585

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Emerson William C.Director · President
Tax withholdingClass A common stock 2,732 $15.77 $43,083.64
Disclosure

SEC source: 0001805284-25-000038 · wk-form4_1741724119.xml · nonDerivative · entry 2

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 859,204

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 6,098 restricted stock units granted to the Reporting Person on March 7, 2022.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:15 UTC
Emerson William C.Director · President
GrantClass A common stock 221,940 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000038 · wk-form4_1741724119.xml · nonDerivative · entry 1

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 861,936

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Krishna VarunDirector · Chief Executive Officer
Tax withholdingClass A common stock 58,259 $15.77 $918,744.43
Disclosure

SEC source: 0001805284-25-000035 · wk-form4_1741724086.xml · nonDerivative · entry 2

Krishna Varun · CIK 0001931906 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,361,260

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 130,042 restricted stock units granted to the Reporting Person on March 8, 2024.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Krishna VarunDirector · Chief Executive Officer
GrantClass A common stock 697,526 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000035 · wk-form4_1741724086.xml · nonDerivative · entry 1

Krishna Varun · CIK 0001931906 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,419,519

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Brown Brian NicholasChief Fin. Officer & Treasurer
Tax withholdingClass A common stock 38,958 $15.77 $614,367.66
Disclosure

SEC source: 0001805284-25-000033 · wk-form4_1741724065.xml · nonDerivative · entry 2

Brown Brian Nicholas · CIK 0001820672 · Chief Fin. Officer & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 821,066

F2 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 86,957 restricted stock units granted to the Reporting Person on March 7, 2022 and March 8, 2024.

Read SEC document
March 07, 2025 Filed Mar 11, 2025 20:14 UTC
Brown Brian NicholasChief Fin. Officer & Treasurer
GrantClass A common stock 221,940 $0.00 $0.00
Disclosure

SEC source: 0001805284-25-000033 · wk-form4_1741724065.xml · nonDerivative · entry 1

Brown Brian Nicholas · CIK 0001820672 · Chief Fin. Officer & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 860,024

F1 · shares: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and approved by a committee of independent directors. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs were granted to the Reporting Person on March 7, 2025 and will vest in six equal, semi-annual installments over three years on each September 7 and March 7, with the initial vesting date on September 7, 2025, subject to the Reporting Person's continued employment on the applicable vesting date.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 16:11 UTC
John Tina V.Exe Legal Counsel & Secretary
Tax withholdingClass A common stock 30,627 $14.06 $430,615.62
Disclosure

SEC source: 0001805284-25-000019 · wk-form4_1741209068.xml · nonDerivative · entry 1

John Tina V. · CIK 0001948779 · Exe Legal Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,274

F1 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 67,515 restricted stock units granted to the Reporting Person on March 3, 2023.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 21:10 UTC
Emerson William C.Director · President
Tax withholdingClass A common stock 103,991 $14.06 $1,462,113.46
Disclosure

SEC source: 0001805284-25-000018 · wk-form4_1741209034.xml · nonDerivative · entry 1

Emerson William C. · CIK 0001965677 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 639,996

F1 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 231,481 restricted stock units granted to the Reporting Person on March 3, 2023.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 21:09 UTC
Brown Brian NicholasChief Fin. Officer & Treasurer
Tax withholdingClass A common stock 39,134 $14.06 $550,224.04
Disclosure

SEC source: 0001805284-25-000017 · wk-form4_1741208977.xml · nonDerivative · entry 1

Brown Brian Nicholas · CIK 0001820672 · Chief Fin. Officer & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 638,084

F1 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 86,805 restricted stock units granted to the Reporting Person on March 3, 2023.

Read SEC document
November 06, 2024 Filed Nov 8, 2024 22:38 UTC
Malhotra ShawnChief Technology Officer
Tax withholdingClass A common stock 52,494 $15.75 $826,780.50
Disclosure

SEC source: 0001805284-24-000171 · wk-form4_1731105212.xml · nonDerivative · entry 1

Malhotra Shawn · CIK 0002028112 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,796

F1 · kind: Represents shares withheld by Rocket Companies, Inc. to satisfy tax withholding obligations in connection with the vesting of 96,548 restricted stock units granted to the Reporting Person on May 6, 2024.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.