William C. Emerson - 30 Jun 2025 Form 4 Insider Report for Rocket Companies, Inc. (RKT)

Reporting relationship: President, Director
Issuer ticker: RKT
Reported as of: 30 Jun 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 02 Jul 2025, 17:58:05 UTC
Prior SEC filing: 11 Mar 2025
Next SEC filing: 09 Sep 2025
Source filing: View source filing
Reporting owner signature: /s/ Tina V. John, attorney in fact

Key filing fact

William C. Emerson filed Form 4 for Rocket Companies, Inc. (RKT) on 02 Jul 2025.

Key facts

This page summarizes William C. Emerson's Form 4 filing for Rocket Companies, Inc. (RKT).
6 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 02 Jul 2025, 17:58.

Change

Previous filing in this sequence was filed on 11 Mar 2025.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001965677 Primary reporting owner

Emerson William C.

Relationship: President, Director
Address: C/O ROCKET COMPANIES, INC., 1050 WOODWARD AVENUE, DETROIT
Signature: /s/ Tina V. John, attorney in fact
Signature date: 02 Jul 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

RKT transaction

Class L-1 common stock

Award

Transaction value: $0
Shares: +14,134,895
Change %
Price: $0.000000
Shares after: 14,134,895
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F4

RKT transaction

Class L-2 common stock

Award

Transaction value: $0
Shares: +14,134,896
Change %
Price: $0.000000
Shares after: 14,134,896
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F4

RKT transaction

Class L-1 common stock

Award

Transaction value: $0
Shares: +1,413,489
Change %
Price: $0.000000
Shares after: 1,413,489
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F5

RKT transaction

Class L-2 common stock

Award

Transaction value: $0
Shares: +1,413,490
Change %
Price: $0.000000
Shares after: 1,413,490
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F5

RKT transaction

Class L-1 common stock

Award

Transaction value: $0
Shares: +1,413,489
Change %
Price: $0.000000
Shares after: 1,413,489
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F6

RKT transaction

Class L-2 common stock

Award

Transaction value: $0
Shares: +1,413,490
Change %
Price: $0.000000
Shares after: 1,413,490
Date: 30 Jun 2025
Ownership: See footnote
Footnotes: F1, F2, F3, F6

RKT holding

Class A common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 859,204
Date: 30 Jun 2025
Ownership: Direct
Footnotes: F7

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 7 footnotes

Footnote F1

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)

Footnote F2

(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)

Footnote F3

(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.

Footnote F4

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.

Footnote F5

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.

Footnote F6

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.

Footnote F7

Reported amount includes 453,422 unvested restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan. 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 installments in accordance with the terms of the applicable RSU award agreement, subject to the Reporting Person's continued employment on the applicable vesting date.