Notice of Proposed Sale · 144
ROCKET LAB CORPORATION
RKLBNASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- ROCKET LAB CORPORATION
- Issuer CIK
- 0001819994
- SEC file number
- 001-39560
- Phone
- 7144655737
- Person for whose account securities are to be sold
- ADAM C SPICE
- Relationships to issuer
- Officer
- Street
- 3881 McGowen Street
- City
- Long Beach
- State / country code
- CA
- Postal code
- 90808
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 140,157 | 9,766,139.76 | 598,350,482 | 10/01/2026 | NASDAQ | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 10/01/2026 | Exercise of Stock Options | Issuer | 140,157 | N | 10/01/2026 | Cash |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| 10b5-1 Sales for ADAM C SPICE | Common | 09/02/2026 | 140,157 | 8,777,724.56 |
| ADAM C SPICE | Common | 08/24/2026 | 9,677 | 673,790.46 |
| ADAM C SPICE | Common | 08/18/2026 | 30,908 | 2,484,247.50 |
| ADAM C SPICE | Common | 08/17/2026 | 15,718 | 1,291,812.12 |
Seller — prior-sale row 1, entry 1
- Name
- 10b5-1 Sales for ADAM C SPICE
- Street
- 3881 McGowen Street
- City
- Long Beach
- State / country code
- CA
- Postal code
- 90808
Seller — prior-sale row 2, entry 1
- Name
- ADAM C SPICE
- Street
- 3881 McGowen Street
- City
- Long Beach
- State / country code
- CA
- Postal code
- 90808
Seller — prior-sale row 3, entry 1
- Name
- ADAM C SPICE
- Street
- 3881 McGowen Street
- City
- Long Beach
- State / country code
- CA
- Postal code
- 90808
Seller — prior-sale row 4, entry 1
- Name
- ADAM C SPICE
- Street
- 3881 McGowen Street
- City
- Long Beach
- State / country code
- CA
- Postal code
- 90808
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Notice signature
- Notice date
- 10/01/2026
- Signed
- /s/ Adam Clark Spice
- Plan adoption dates
- 06/03/2026
Company context
Rocket Lab (Nasdaq: RKLB) is an end-to-end space company delivering rockets, satellites, and spacecraft components for commercial, government, and defense missions. Driven by its industry-leading small-lift rockets Electron and HASTE and its upcoming reusable Neutron medium-lift rocket, Rocket Lab delivers reliable and responsive launch for the world’s most important missions from constellation deployment to missile defense. Rocket Lab’s satellites and components have powered more than 1,700 missions in Earth orbit, as well as deep-space exploration of the Moon, Mars, and beyond. Learn more at www.rocketlabcorp.com.