GILBERT DANIEL B sold 20.20M shares of ROCKET COMPANIES, INC. on the open market

Open‑market sale worth $499.95M. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 1 sale

GILBERT DANIEL B

Filed: 3/31/2021ACC: 0000950142-21-001141

InsiderGILBERT DANIEL BCIK 1569007

→

IssuerROCKET COMPANIES, INC.CIK 1805284

Director10% Owner

Since Aug 2020

-40.40M

Net shares

Net seller

$499.95M

Total sold

Open market trades

0B · 1S

Total transactions

40.40M acquired · 80.80M disposed

Non-Derivative Transactions3

Class D common stock

Indirect

D · Disposition

−20.20M

Price / share

—

Trade value

—

% of position

1.1%

3/29/2021

1.87B→1.85B

Class A common stock

Indirect

X · X

+20.20M

Price / share

—

Trade value

—

% of position

New position

3/29/2021

0.00→20.20M

Class A common stock

Indirect

S · Sale

−20.20M

Price / share

$24.75

Trade value

$499.95M

% of position

New position

3/29/2021

20.20M→0.00

Total

Net shares

−20.20M

Net value

-$499.95M

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class D common stock Indirect	3/29/2021	D · Disposition	−20.20M	—	—	1.1%	1.87B	1.85B
Class A common stock Indirect	3/29/2021	X · X	+20.20M	—	—	New position	0.00	20.20M
Class A common stock Indirect	3/29/2021	S · Sale	−20.20M	$24.75	$499.95M	New position	20.20M	0.00
Total			−20.20M		-$499.95M

Derivative Transactions3

Non-voting common interest units of RKT Holdings, LLC

Indirect

D · Disposition

Converts to

Class B common stock and Class A common stock

20.20M shares

−20.20M

Strike price

Held after

1.85B

Exercisable

—

3/29/2021

Class B common stock

Indirect

A · Award

Converts to

Class A common stock

20.20M shares

+20.20M

Strike price

Held after

20.20M

Exercisable

—

3/29/2021

Class B common stock

Indirect

X · X

Converts to

Class A common stock

20.20M shares

−20.20M

Strike price

Held after

0.00

Exercisable

—

3/29/2021

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Non-voting common interest units of RKT Holdings, LLC Indirect	Class B common stock and Class A common stock20.20M shares	3/29/2021	D · Disposition	−20.20M	—	1.85B
Class B common stock Indirect	Class A common stock20.20M shares	3/29/2021	A · Award	+20.20M	—	20.20M
Class B common stock Indirect	Class A common stock20.20M shares	3/29/2021	X · X	−20.20M	—	0.00

Non-Derivative Holdings (Post-Transaction)4

Class A common stock

Direct

Shares owned28.33K

Class D common stock

Direct

Shares owned1.10M

Class A common stock

Indirect

Shares owned344.23K

Class D common stock

Indirect

Shares owned800K

Total

1.13M direct·1.14M indirect2.27M

Security Title	Shares Owned	Ownership Type
Class A common stock	28.33K	Direct
Class D common stock	1.10M	Direct
Class A common stock	344.23K	Indirect
Class D common stock	800K	Indirect
Total	2.27M	1.13M direct·1.14M indirect

Derivative Holdings (Post-Transaction)2

Non-voting common interest units of RKT Holdings, LLC

Indirect

Underlying security

Class B common stock and Class A common stock

Underlying shares

800K

Shares owned

800K

Exercise price

Expiration

—

Exercise window

—

Non-voting common interest units of RKT Holdings, LLC

Direct

Underlying security

Class B common stock and Class A common stock

Underlying shares

1.10M

Shares owned

1.10M

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

1.90M

Owned

1.90M

Security	Underlying	Exercise Window	Expiration	Underlying Shares	Shares Owned
Non-voting common interest units of RKT Holdings, LLC Indirect	Class B common stock and Class A common stock	—	—	800K	800K
Non-voting common interest units of RKT Holdings, LLC Direct	Class B common stock and Class A common stock	—	—	1.10M	1.10M
Total				1.90M	1.90M