Rocket Companies, Inc. — Director's Dealing 2020

Aug 8, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Rocket Companies, Inc. (RKT)
CIK: 0001805284
Period of Report: 2020-08-05

Reporting Person: Walters Robert D. Jr. (President & Chief Oper Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-05	Class A common stock	A	375000	—	Acquired	375000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-08-05	Employee Stock Options (right to buy)	$18	A	462012	Acquired	2030-08-05	Class A common stock (462012)	Direct

Footnotes

F1: Represents restricted stock units ("RSUs") granted under the Rocket Companies, Inc. 2020 Omnibus Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3. Each RSU represents the contingent right to receive one share of Class A common stock of the Issuer for each vested RSU. The RSUs vest in three equal installments of 33.33% on each of August 5, 2021, August 5, 2022 and August 5, 2023, subject to the reporting person's continued employment on the applicable vesting date.

F2: Represents employee stock options (right to buy) granted under the Plan in a transaction exempt under Rule 16b-3. Each employee stock option represents the right to buy one share of Class A common stock of the Issuer for each vested employee stock option. The employee stock options vest as to 33.33% on August 5, 2021 and monthly thereafter over the next 24 months, subject to the reporting person's continued employment on the applicable vesting date.