Form 4 for RKLB Rocket Lab Corp
Accepted 2024-11-18 00:00:00 ET · period of report 2024-11-14 · accession 0000950170-24-128168 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2024-11-18 | 2024-11-14+ | RKLB | Ocko Matthew | Dir | S - Sale | $18.03 | -5.37M | 5.78M | -48% | -$96.76M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-11-14 | S | D | 578,215 | $17.73 | 2,351,135 | I See footnote | — | — | (F1) The price reported in column 4 is a weighted average price of the aggregate number of shares sold. These shares were sold in multiple transactions with 1,782,427 shares sold at prices ranging from $17.2800 to $18.2700, 197,712 shares sold at prices ranging from $18.2800 to $19.2500 and 19,861 shares sold at prices ranging from $19.3000 to $19.6600, inclusive. The Reporting Person undertakes to provide to Rocket Lab USA, Inc. (the "Issuer"), any security holder of the Issuer, 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 ranges set forth in this footnote. (F2) Represents securities held of record by Data Collective IV, L.P. ("DCVC IV"). Data Collective IV GP, LLC ("DCVC IV GP") is the general partner of DCVC IV and has sole voting and dispositive power with regard to the securities held by DCVC IV. The Reporting Person is a managing member of DCVC IV GP and shares voting and dispositive power with respect to the securities held by DCVC IV. The Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of such securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any. |
| 2 | Common | Common Stock | 2024-11-15 | S | D | 2,393,001 | $18.21 | 3,388,249 | I See footnote | — | — | (F4) The price reported in column 4 is a weighted average price of the aggregate number of shares sold. These shares were sold in multiple transactions with 1,067,717 shares sold at prices ranging from $16.8800 to $17.8750, 1,893,911 shares sold at prices ranging from $17.8800 to $18.8750 and 404,565 shares sold at prices ranging from $19.0000 to $19.4750, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote. (F3) Represents securities held of record by DCVC Opportunity Fund II, L.P. ("DCVC Opportunity Fund II"). DCVC Opportunity Fund II GP, LLC ("DCVC Opportunity Fund II GP") is the general partner of DCVC Opportunity Fund II and has sole voting and dispositive power with regard to the securities held by DCVC Opportunity Fund II. The Reporting Person is a managing member of DCVC Opportunity Fund II GP and shares voting and dispositive power with respect to the securities held by DCVC Opportunity Fund II. The Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of such securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any. |
| 3 | Common | Common Stock | 2024-11-15 | S | D | 973,192 | $18.21 | 1,377,943 | I See footnote | — | — | (F4) The price reported in column 4 is a weighted average price of the aggregate number of shares sold. These shares were sold in multiple transactions with 1,067,717 shares sold at prices ranging from $16.8800 to $17.8750, 1,893,911 shares sold at prices ranging from $17.8800 to $18.8750 and 404,565 shares sold at prices ranging from $19.0000 to $19.4750, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote. (F2) Represents securities held of record by Data Collective IV, L.P. ("DCVC IV"). Data Collective IV GP, LLC ("DCVC IV GP") is the general partner of DCVC IV and has sole voting and dispositive power with regard to the securities held by DCVC IV. The Reporting Person is a managing member of DCVC IV GP and shares voting and dispositive power with respect to the securities held by DCVC IV. The Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of such securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any. |
| 4 | Common | Common Stock | 2024-11-14 | S | D | 1,421,785 | $17.73 | 5,781,250 | I See footnote | — | — | (F1) The price reported in column 4 is a weighted average price of the aggregate number of shares sold. These shares were sold in multiple transactions with 1,782,427 shares sold at prices ranging from $17.2800 to $18.2700, 197,712 shares sold at prices ranging from $18.2800 to $19.2500 and 19,861 shares sold at prices ranging from $19.3000 to $19.6600, inclusive. The Reporting Person undertakes to provide to Rocket Lab USA, Inc. (the "Issuer"), any security holder of the Issuer, 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 ranges set forth in this footnote. (F3) Represents securities held of record by DCVC Opportunity Fund II, L.P. ("DCVC Opportunity Fund II"). DCVC Opportunity Fund II GP, LLC ("DCVC Opportunity Fund II GP") is the general partner of DCVC Opportunity Fund II and has sole voting and dispositive power with regard to the securities held by DCVC Opportunity Fund II. The Reporting Person is a managing member of DCVC Opportunity Fund II GP and shares voting and dispositive power with respect to the securities held by DCVC Opportunity Fund II. The Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of such securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any. |