Welcome to our dedicated page for Rocket Companies SEC filings (Ticker: RKT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings of Rocket Companies, Inc. (NYSE: RKT) provide detailed insight into its mortgage-focused financial services operations, capital structure, and corporate transactions. As a Delaware corporation with Class A common stock listed on the New York Stock Exchange, Rocket Companies files current reports on Form 8-K and related amendments that describe material events affecting the company and its subsidiaries.
Recent Rocket Companies filings highlight several key themes. Multiple Forms 8-K describe master repurchase agreements and related amendments entered into by Rocket Mortgage, LLC, a Michigan limited liability company and indirect subsidiary of Rocket Companies, and by One Reverse Mortgage, LLC. These filings explain extensions of expiration dates, technical changes to agreements with counterparties such as UBS AG New York Branch, Morgan Stanley Bank, N.A., and Bank of America, N.A., and disclose the company’s total funding capacity across master repurchase agreements, early funding facilities, unsecured lines of credit, MSR lines of credit, and early buyout facilities.
Other filings detail capital markets and credit arrangements. A Form 8-K dated October 1, 2025 describes exchange offers for existing senior notes originally issued by Nationstar Mortgage Holdings Inc. and the issuance of new senior notes due 2029 and 2032 by Rocket Companies. The filing also outlines supplemental indentures under which Rocket Mortgage, Redfin Corporation, and subsidiaries associated with Mr. Cooper guarantee Rocket’s senior notes and Rocket Mortgage’s senior notes. Another section of the same filing explains a Revolving Credit Agreement and a Borrower Accession Agreement through which Rocket Companies became the borrower under a revolving credit facility and increased the aggregate commitment.
Rocket’s SEC filings also document mergers and acquisitions. The October 1, 2025 Form 8-K and an October 10, 2025 Form 8-K/A describe the completion of the acquisition of Mr. Cooper Group Inc. through a series of mergers, the exchange ratio of Rocket Class A common stock issued to Mr. Cooper stockholders, and the filing of unaudited pro forma condensed combined financial statements. These disclosures help investors understand how the acquisition affects Rocket’s financial profile and corporate structure.
In addition, Rocket Companies uses Form 8-K to furnish earnings releases and supplemental financial information, as seen in the October 30, 2025 filing, and to address governance and procedural updates, such as the December 22, 2025 filing correcting the deadline for stockholder proposals under Rule 14a-8. On Stock Titan’s filings page, these documents are presented with real-time updates from EDGAR and AI-powered summaries that explain key terms, obligations, and structural changes, helping readers quickly interpret complex agreements, note indentures, and acquisition details.
Rocket Companies, Inc. director and executive Jesse K. Bray reported a routine tax-related share disposition. On April 1, 2026, 57,200 shares of Class A common stock were forfeited at $14.25 per share to cover tax withholding on vesting restricted stock units under the 2020 Omnibus Incentive Plan.
After this transaction, Bray held 7,978,342 Class A shares directly and 8,099,104 Class A shares indirectly through The Jesse K. Bray Living Trust, indicating a large ongoing ownership position despite the tax withholding disposition.
Rocket Cos Inc: The Vanguard Group filed an amendment to a Schedule 13G stating it beneficially owns 0 shares of Rocket Cos Inc common stock following an internal realignment effective 01/12/2026. The filing is signed by Ashley Grim on 03/27/2026.
The amendment explains that certain Vanguard subsidiaries or business divisions will report beneficial ownership separately in reliance on SEC Release No. 34-39538 (January 12, 1998), and that The Vanguard Group, Inc. no longer is deemed to beneficially own securities held by those entities.
Rocket Companies, Inc. director and executive Jesse K. Bray reported gifting a total of 93,060 shares of Class A common stock on March 11, 2026. The shares were transferred as bona fide charitable contributions from The Jesse K. Bray Living Trust to a charitable organization and a donor advised fund.
After these gifts, the trust continued to hold 6,871,997 shares indirectly, while Bray also held 9,262,649 shares directly. These are non-cash, non-market transactions and do not reflect open-market buying or selling activity.
Rocket Companies director Matthew Rizik reported compensation-related activity involving cash-settled restricted stock units and Class A common stock. On March 7, 2026, he exercised 14,796 cash-settled RSUs, which converted into 14,796 shares of Class A common stock at a stated price of $0.00 per share. A related “J” code entry shows an other acquisition or disposition of the same 14,796 Class A shares at $14.95 per share, leaving him with 1,038,536 Class A shares held directly afterward. The footnotes explain these RSUs were granted under the 2020 Omnibus Incentive Plan, vest in six semi-annual installments over three years, and settle in cash based on the fair market value of Rocket’s common stock.
Rocket Companies, Inc. Chief Technology Officer Shawn Malhotra reported routine equity compensation activity in Class A common stock. He received a grant of 250,836 restricted stock units under the 2020 Omnibus Incentive Plan, with each unit representing one share of Class A common stock upon vesting.
The RSUs were granted on March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, starting September 7, 2026, contingent on continued employment. On the same date, 15,723 shares were forfeited to cover tax withholding obligations upon RSU vesting, leaving him with 971,506 shares held directly after these transactions.
Rocket Companies, Inc. President & Chief Financial Officer Brian Nicholas Brown reported routine equity compensation and related tax withholding in Class A common stock. He received a grant of 367,892 restricted stock units on March 7, 2026, each representing one share upon vesting under the 2020 Omnibus Incentive Plan.
To cover tax obligations tied to RSU vesting, a total of 31,247 shares of Class A common stock were withheld at $14.95 per share, recorded as two separate dispositions. After these transactions, Brown directly holds 1,303,118 shares of Class A common stock, plus disclosed holdings in Class L-1 and Class L-2 common stock.
Rocket Companies, Inc. Chief Executive Officer Varun Krishna reported equity compensation and related tax-withholding transactions in Class A common stock. He received 1,003,344 restricted stock units (RSUs)March 7, 2026 under the 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Class A common stock as it vests.
The RSUs vest in six equal, semi-annual installments over three years on each March 7 and September 7, beginning on September 7, 2026, subject to his continued employment. To cover tax withholding obligations upon RSU vesting, 52,082 shares and 58,259 shares of Class A common stock were forfeited at a reference price of $14.95 per share, rather than sold in the open market. After these transactions, Krishna directly holds 2,143,922 shares of Class A common stock.
Rocket Companies, Inc. Chief Business Officer William D. Banfield received a grant of 234,113 restricted stock units representing Class A common stock, awarded under the 2020 Omnibus Incentive Plan and approved by a committee of independent directors. The RSUs were granted on March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, starting September 7, 2026, subject to his continued employment. To cover tax withholding upon RSU vesting, 44,053 shares of Class A common stock were forfeited at a price of $14.95 per share. After these transactions, he directly holds 909,940 shares of Class A common stock and 2,826,979 shares each of Class L-1 and Class L-2 common stock.
Rocket Companies, Inc. Chief Marketing Officer Jonathan Mildenhall reported equity compensation activity involving the company’s Class A common stock. He received a grant of 234,113 restricted stock units under the 2020 Omnibus Incentive Plan, with each unit representing one future share upon vesting.
The RSUs were granted on March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, beginning September 7, 2026, contingent on continued employment. On the same date, 60,949 shares were withheld at $14.95 per share to cover tax obligations from RSU vesting, leaving him with 901,804 directly held shares.
Bray Jesse K reported acquisition or exercise transactions in this Form 4 filing.
Rocket Companies, Inc. director and executive Jesse K. Bray, President and CEO of Rocket Mortgage, received an equity award of 418,060 shares of Class A common stock in the form of restricted stock units. The award was granted at no cash cost to him under the 2020 Omnibus Incentive Plan.
Each RSU represents one share of Class A common stock upon vesting. The units were granted on March 7, 2026 and will vest in six equal, semi-annual installments over three years on each March 7 and September 7, starting September 7, 2026, contingent on his continued employment.
Following this grant, Bray directly holds 9,262,649 shares of Class A common stock and indirectly holds 6,965,057 additional shares through the Jesse K. Bray Living Trust, where he serves as trustee and his immediate family are beneficiaries.