GRIFFIN MICHAEL D

SEC source: 0000950170-24-100739 · ownership.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

SEC source: 0000950170-24-098220 · ownership.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 39,446

F1 · shares: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000950170-24-098220 · ownership.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,353

F1 · shares: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000950170-24-073941 · ownership.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,799

F1 · shares: Represents restricted stock units ("RSUs") granted to Michael D. Griffin under the Rocket Lab USA, Inc. Amended and Restated Non-Employee Director Compensation Policy. Such RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the next Annual Meeting of Stockholders. The RSUs were granted on June 12, 2024.

SEC source: 0000950170-23-045773 · ownership.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.1250 to $6.4450, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: These shares are owned directly by LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of his pecuniary interest therein.

SEC source: 0000899243-23-015810 · doc4.xml · nonDerivative · entry 3

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 38,090

F2 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-015810 · doc4.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,446

SEC source: 0000899243-23-015810 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,536

F1 · shares: Represents restricted stock units ("RSUs") granted to Michael D. Griffin under the Rocket Lab USA, Inc. Amended and Restated Non-Employee Director Compensation Policy. Such RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the next Annual Meeting of Stockholders. The RSUs were granted on June 14, 2023.

SEC source: 0000899243-23-014907 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

F1 · ownership.nature: The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-013991 · doc4.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 50,689

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-013991 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,090

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-013422 · doc4.xml · nonDerivative · entry 3

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

F2 · ownership.nature: The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-013422 · doc4.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 50,689

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-013422 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,779

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest.

SEC source: 0000899243-22-038342 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.11 to $4.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-037141 · doc4.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 50,688

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-037141 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,468

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-030950 · doc4.xml · nonDerivative · entry 3

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc

Disclosed balance after: 0

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.56 to $5.665, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-030950 · doc4.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc

Disclosed balance after: 456,190

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-030950 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,156

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-037140 · doc4a.xml · nonDerivative · entry 3

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 0

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.56 to $5.665, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-037140 · doc4a.xml · nonDerivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LogiQ, Inc.

Disclosed balance after: 456,190

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

F1 · ownership.nature: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-037140 · doc4a.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,156

F1 · kind: The reporting person transferred these shares to LogiQ, Inc., a corporation controlled by the reporting person and in which the reporting person holds a 50% economic interest. The reporting person disclaims beneficial ownership of any securities held by LogiQ, Inc. except to the extent of their pecuniary interest therein.

SEC source: 0000899243-22-030667 · doc4.xml · derivative · entry 2

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 608,256 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The RSUs are subject to both a service-based vesting condition and liquidity-based vesting condition. The liquidity-based vesting condition was waived by the Board for these RSUs on September 6, 2022. One-twelfth of the RSUs satisfied the service-based vesting condition every three months from July 30, 2020 and were settled for 456,192 shares of common stock on September 6, 2022, and the remaining RSUs will vest on the same schedule. As a result of the waiver of the liquidity-based vesting condition, the reporting person has elected to report the remaining unvested RSUs on Table I consistent with other service-based vesting RSU reporting.

F4 · derivative.exercise_date: The RSUs are subject to both a service-based vesting condition and liquidity-based vesting condition. The liquidity-based vesting condition was waived by the Board for these RSUs on September 6, 2022. One-twelfth of the RSUs satisfied the service-based vesting condition every three months from July 30, 2020 and were settled for 456,192 shares of common stock on September 6, 2022, and the remaining RSUs will vest on the same schedule. As a result of the waiver of the liquidity-based vesting condition, the reporting person has elected to report the remaining unvested RSUs on Table I consistent with other service-based vesting RSU reporting.

F4 · derivative.expiration_date: The RSUs are subject to both a service-based vesting condition and liquidity-based vesting condition. The liquidity-based vesting condition was waived by the Board for these RSUs on September 6, 2022. One-twelfth of the RSUs satisfied the service-based vesting condition every three months from July 30, 2020 and were settled for 456,192 shares of common stock on September 6, 2022, and the remaining RSUs will vest on the same schedule. As a result of the waiver of the liquidity-based vesting condition, the reporting person has elected to report the remaining unvested RSUs on Table I consistent with other service-based vesting RSU reporting.

SEC source: 0000899243-22-030667 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,346

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents 456,192 shares of common stock issued on settlement of Restricted Stock Units ("RSUs") on September 6, 2022, and 152,064 RSUs subject to service-based vesting.

F2 · price: Each RSU represents a contingent right to receive one share of the issuer's common stock upon settlement.

F3 · balance_after: Includes 456,192 shares of common stock issued on settlement of RSUs on September 6, 2022; 152,064 RSUs previously reported in Table II that remain subject to service-based vesting requirements described in note 4 below; and 38,090 RSUs previously reported on Table I subject to service-based vesting requirements.

SEC source: 0000899243-22-024341 · doc4.xml · nonDerivative · entry 1

GRIFFIN MICHAEL D · CIK 0001045849 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,090

F1 · shares: Represents restricted stock units ("RSUs") granted to Michael D. Griffin under the Rocket Lab USA, Inc. Amended and Restated Non-Employee Director Compensation Policy. Such RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the next Annual Meeting of Stockholders. The RSUs were granted on June 23, 2022.