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Rocket Companies, Inc.

For the period ended Jun 30, 2026. Filed Aug 7, 2026.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Jun 30, 2026 · Filed Aug 7, 2026

RKT$15.19+0.9%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Our insider trading policy permits our officers and directors to establish pre-approved stock trading plans pursuant to Rule 10b5-1 promulgated under the Exchange Act. Rule 10b5-1 allows insiders to adopt written stock trading plans at a time when they are unaware of material non-public information which establish predetermined trading parameters that do not permit the insider to subsequently exercise any influence over how, when or whether to effect trades.

On June 16, 2026, Jay Bray, a member of our board of directors who also serves as thepresident and chief executive officer of Rocket Mortgage, adopted a pre-approved Rule 10b5-1 trading plan to sell up to 2,700,000 shares of our Class A common stock. Mr. Bray’s Rule 10b5-1 trading plan was entered into during an open insider trading window and is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act, and the Company’s policies regarding transactions in Company securities. Mr. Bray’s trading plan is scheduled to terminate on September 15, 2027, subject to early termination for certain specified events set forth within the plan. As required by securities laws, completed trades under the trading plan are reported by the individual on Form 4s filed with the SEC.

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