William C. Emerson - Feb 9, 2023 Form 3 Insider Report for Rocket Companies, Inc. (RKT)

Role
Director
Signature
/s/ Tina V. John, attorney in fact
Stock symbol
RKT
Transactions as of
Feb 9, 2023
Transactions value $
$0
Form type
3
Date filed
2/21/2023, 03:10 PM
Next filing
Mar 6, 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding RKT Class A common stock 20.8K Feb 9, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding RKT Restricted Stock Unit (RSU) Feb 9, 2023 Class A common stock 10.4K $0.00 Direct F1
holding RKT Employee Stock Options (right to buy) Feb 9, 2023 Class A common stock 38.5K $18.00 Direct F2
holding RKT Restricted Stock Unit (RSU) Feb 9, 2023 Class A common stock 18.3K $0.00 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents restricted stock units ("RSUs") granted 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 in three equal installments of 33.33% on each of August 5, 2021, August 5, 2022 and August 5, 2023, subject to the reporting person's continued employment on the applicable vesting date.
F2 Represents employee stock options (right to buy) granted under the Plan in a transaction exempt under Rule 16b-3. Each employee stock option represents the right to buy one share of Class A common stock of the Issuer for each vested employee stock option. The employee stock options vest as to 33.33% on August 5, 2021 and monthly thereafter over the next 24 months, subject to the reporting person's continued employment on the applicable vesting date.
F3 Represents RSUs granted under 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 in three equal installments of 33.33% on each of March 7, 2023, March 7, 2024 and March 7, 2025, subject to the reporting person's continued employment on the applicable vesting date.

Remarks:

Exhibit 24.1: Power of Attorney