What SEC filings does Rocket Companies, Inc. submit to the SEC?

Rocket Companies, Inc. (RKT) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about RKT?

A Form 4 for RKT discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Rocket Companies, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for RKT?

The 10-K is Rocket Companies, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all RKT SEC filings directly on EDGAR?

You can view all historical Rocket Companies, Inc. filings on the SEC EDGAR company page for RKT. Each filing card on this page links directly to the original SEC document.

How often does Rocket Companies, Inc. file with the SEC?

Rocket Companies, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling RKT shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

RKT SEC Filing News — Rocket Companies, Inc.

Latest SEC filings for Rocket Companies, Inc. (RKT) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-08.

Rocket Companies, Inc., a fintech company, engages in the mortgage, real estate, and personal finance businesses in the United States and Canada. It operates in two segments, Direct to Consumer and Partner Network. The company offers Rocket Mortgage, a mortgage lender service; Redfin, a digital real estate brokerage and home search platform; Rocket Close, a digital experience for appraisal management, settlement, and title services; Rocket Money, a finance app that offers a suite of financial we…

Sector: Financial Services Industry: Mortgage Finance Market Cap: $30.3B

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for RKT currently lean bearish. Of the 20 filing records displayed, 4 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

RKT Filing Activity Snapshot 2026-08-17 — 2026-10-08

Insider Transactions (Form 4)

0 buys vs 3 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$12.10M

Jesse K. Bray · 2026-09-15

900,000 shares · Form 144

Form 144 Notices

Proposed insider sale filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 19 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 19 filings in this group are Form 4s for Rocket Companies, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 19 insider filings shown, the breakdown is 14 tax withholding, 3 open-market sale, 1 compensation award and 1 option exercise. 3 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Tax withholding ×14: Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Open-market sale ×3: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Compensation award ×1: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Option exercise ×1: The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Mildenhall Jonathan (Chief Marketing Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	12,860	$11.59	$149.0K

Filing: Form 4 (Insider Transaction) Insider: Mildenhall Jonathan (Chief Marketing Officer) Shares: 12,860

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Malhotra Shawn (Chief Technology Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	13,751	$11.59	$159.4K

Filing: Form 4 (Insider Transaction) Insider: Malhotra Shawn (Chief Technology Officer) Shares: 13,751

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Banfield William D. (Chief Business Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	8,056	$11.59	$93.4K

Filing: Form 4 (Insider Transaction) Insider: Banfield William D. (Chief Business Officer) Shares: 8,056

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Lovier Heather M. (Chief Operating Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	8,056	$11.59	$93.4K

Filing: Form 4 (Insider Transaction) Insider: Lovier Heather M. (Chief Operating Officer) Shares: 8,056

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Edwards Noah A. (Chief Accounting Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	2,302	$11.59	$26.7K

Filing: Form 4 (Insider Transaction) Insider: Edwards Noah A. (Chief Accounting Officer) Shares: 2,302

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-10-08

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Brown Brian Nicholas (President & Chief Fin Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	16,112	$11.59	$186.7K

Filing: Form 4 (Insider Transaction) Insider: Brown Brian Nicholas (President & Chief Fin Officer) Shares: 16,112

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-10-05

RKT insider Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) sold 92,300 shares (~$1.14M)

Bray Jesse K, listed as Director, Pres & CEO, Rocket Mortgage at Rocket Companies, Inc., reported an open-market sale of 92,300 RKT shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	92,300	$12.39	$1.14M

Filing: Form 4 (Insider Transaction) Insider: Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) Shares: 92,300 Est. Value: $1.14M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-10-02

RKT insider Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) sold 132,700 shares (~$1.59M)

Bray Jesse K, listed as Director, Pres & CEO, Rocket Mortgage at Rocket Companies, Inc., reported an open-market sale of 132,700 RKT shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	57,200	$11.51	$658.4K
`S`	Open-market sale	132,700	$12.01	$1.59M

Filing: Form 4 (Insider Transaction) Insider: Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) Shares: 132,700 Est. Value: $1.59M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-09-16

RKT insider Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) sold 225,000 shares (~$2.95M)

Bray Jesse K, listed as Director, Pres & CEO, Rocket Mortgage at Rocket Companies, Inc., reported an open-market sale of 225,000 RKT shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	225,000	$13.11	$2.95M

Filing: Form 4 (Insider Transaction) Insider: Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) Shares: 225,000 Est. Value: $2.95M

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	61,315	$14.06	$862.1K

Filing: Form 4 (Insider Transaction) Insider: Banfield William D. (Chief Business Officer) Shares: 61,315

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	12,009	$14.06	$168.8K

Filing: Form 4 (Insider Transaction) Insider: Edwards Noah A. (Chief Accounting Officer) Shares: 12,009

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	44,042	$14.06	$619.2K
`F`	Tax withholding on vested shares	14,675	$14.06	$206.3K

Filing: Form 4 (Insider Transaction) Insider: Brown Brian Nicholas (President & Chief Fin Officer) Shares: 58,717

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	37,930	$14.06	$533.3K

Filing: Form 4 (Insider Transaction) Insider: Malhotra Shawn (Chief Technology Officer) Shares: 37,930

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	29,279	$14.06	$411.7K

Filing: Form 4 (Insider Transaction) Insider: Bray Jesse K (Director, Pres & CEO, Rocket Mortgage) Shares: 29,279

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	61,669	$14.06	$867.1K

Filing: Form 4 (Insider Transaction) Insider: Lovier Heather M. (Chief Operating Officer) Shares: 61,669

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Krishna Varun (Director, Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	126,999	$14.06	$1.79M
`F`	Tax withholding on vested shares	58,259	$14.06	$819.1K

Filing: Form 4 (Insider Transaction) Insider: Krishna Varun (Director, Chief Executive Officer) Shares: 185,258

View on SEC EDGAR → Open Filing Document →

Form 4 Option exercise Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Rizik Matthew (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`M`	Option exercise	14,796	—	—
`J`	Other transaction	14,796	$14.06	$208.0K
`M`	Option exercise derivative · Cash-Settled Restricted Stock Units	14,796	—	—

Filing: Form 4 (Insider Transaction) Insider: Rizik Matthew (Director) Shares: 29,592

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-09

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	80,287	$14.06	$1.13M

Filing: Form 4 (Insider Transaction) Insider: Mildenhall Jonathan (Chief Marketing Officer) Shares: 80,287

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-17

RKT insider Form 4 filed for equity award, exercise, or tax withholding

Watterson Sarah (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	14,566	—	—

Filing: Form 4 (Insider Transaction) Insider: Watterson Sarah (Director) Shares: 14,566

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 1 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Rocket Companies, Inc. has 1 such notice in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Large Proposed Insider Sale 2026-09-15

RKT Form 144 filed for proposed insider sale by Jesse K. Bray (900,000 shares) ~$12.10M

Jesse K. Bray filed a Form 144 with the SEC indicating intent to sell RKT (Rocket Companies, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4. The proposed dollar value is large enough to merit attention.

Filing: Form 144 (Proposed Sale Notice) Insider: Jesse K. Bray Shares: 900,000 Est. Value: $12.10M

View on SEC EDGAR → Open Filing Document →

How we classify Rocket Companies, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on RKT. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — RKT SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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