Current Report Filing (8-k)




	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549
	FORM 8-K
	CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
	Date of report (Date of earliest event reported) March 21, 2022
	Rocket Companies, Inc.
	(Exact name of registrant as specified in its charter)
Delaware	001-39432	84-4946470
(State or other jurisdiction	(Commission	(I.R.S. Employer
of incorporation)	File Number)	Identification No.)
	1050 Woodward Avenue
	Detroit, MI 48226
	(Address of principal executive offices) (Zip Code)
	(313) 373-7990
	(Registrant’s Telephone Number, Including Area Code)

	(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol

Name of each exchange on which registered

Class A common stock, par value $0.00001 per share

RKT

New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01 Other Events.

On February 28, 2022, Jay Farner, Vice Chairman and CEO of Rocket Companies, Inc. (the "Company"), entered into a share trading plan (the "Purchase Plan") with a broker for the purchase of shares of the Company’s common stock. The Purchase Plan was adopted pursuant to and in compliance with Rule 10b5-1 and Rule 10b-18 under the Securities Exchange Act of 1934, as amended, and in accordance with the Company’s insider trading policies. In accordance with Rule 10b5-1, Mr. Farner will have no authority, influence or control over any purchase of shares of common stock of the Company under the Purchase Plan. Subject to the satisfaction of certain conditions, a broker may periodically effect purchases of up to $36 million total aggregate value of the Company’s common stock from March 30, 2022 through December 30, 2022. Purchases under the Purchase Plan are subject to or dependent upon certain market pricing parameters and trading limitations. Any transactions under the Purchase Plan will be reported to the Securities and Exchange Commission in accordance with securities laws, rules and regulations.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: March 21, 2022

ROCKET COMPANIES, INC.

By:

/s/ Julie Booth

Name:

Julie Booth

Title:

Chief Financial Officer and Treasurer

Rocket Companies (NYSE:RKT)
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