Changes in Beneficial Ownership · 4
Rocket Lab Corporation
RKLBNASDAQEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
edgardoc.xml
Filing details
- Report period
- 2026-11-02
- Issuer
- Rocket Lab Corp
- Issuer CIK
- 0001819994
- Trading symbol
- RKLB
- Rule 10b5-1 indication
- Checked
Reporting owner 1
- Name
- Spice Adam C.
- Reporting owner CIK
- 0001509421
- Relationship
- Officer
- Officer title
- Chief Financial Officer
- Address
- 3881 MCGOWEN STREET, LONG BEACH, CA, 90808
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2026-11-02 | M · Form 4 | 140,157 | A | 1.09 | 1,296,124 | D |
| Common Stock | 2026-11-02 | S · Form 4 | 47,554[F1] | D | 51.2804[F2] | 1,248,570 | D |
| Common Stock | 2026-11-02 | S · Form 4 | 14,266[F1] | D | 52.2638[F3] | 1,234,304 | D |
| Common Stock | 2026-11-02 | S · Form 4 | 33,681[F1] | D | 53.2884[F4] | 1,200,623 | D |
| Common Stock | 2026-11-02 | S · Form 4 | 37,950[F1] | D | 54.0728[F5] | 1,162,673 | D |
| Common Stock | 2026-11-02 | S · Form 4 | 6,706[F1] | D | 54.7849[F6] | 1,155,967 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- A
- Acquired
- D
- Direct
- S · Form 4
- Sale on the market or privately
Non-derivative holdings
| Security | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|
| Common Stock | 250,000 | I | by Trust |
Table key
- I
- Indirect
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | 1.09 | 2026-11-02 | M · Form 4 | 140,157 | D | 0.0 | [F7] | 2028-08-03 | Common Stock | 140,157 | 2,102,354 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- D
- Direct
Footnotes
- F1
- Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026.↩ 1↩ 2↩ 3↩ 4↩ 5
- F2
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $50.7100 to $51.7000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.↩ 1
- F3
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $51.7100 to $52.7000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.↩ 1
- F4
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $52.7100 to $53.7000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.↩ 1
- F5
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $53.7100 to $54.7000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.↩ 1
- F6
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $54.7100 to $55.0000. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.↩ 1
- F7
- The stock option was granted on August 3, 2018, and had a vesting commencement date of May 25, 2018. 1/4 of the shares subject to the stock option vest on the one year anniversary of the vesting commencement date, and 1/48 of the shares subject to the stock option vest on a monthly basis each month thereafter, subject, in each case, to the reporting person's continued service relationship through each applicable vesting date.↩ 1
Signature 1
- Signed
- By: /s/ Arjun Kampani, as Attorney-in-Fact For: Adam Spice
- Date
- 2026-11-03
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.