Rocket Companies, Inc.
For the period ended Sep 30, 2025. Filed Nov 6, 2025.
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Sep 30, 2025 · Filed Nov 6, 2025
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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 Securities Exchange Act of 1934, as amended. 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 August 11, 2025 Matthew Rizik, a member of ourboard of directors, established a pre-approved Rule 10b5-1 trading plan, intended to satisfy the affirmative defense of Rule 10b5-1(c) to sell up to $2,000,000 of our Class A common stock. Mr. Rizik’s trading plan is scheduled to terminate on August 1, 2026, 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 individuals on Form 4s filed with the Securities and Exchange Commission. Mr. Rizik is our only officer or director with a Rule 10b5-1 trading plan currently in place.
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