Form 4 for RKLB Rocket Lab Corp

Accepted 2026-05-28 20:35:22 ET · period of report 2026-05-26 · accession 0002001011-26-000076 · 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
DI	2026-05-28 20:35	2026-05-26	RKLB	Beck Peter	CEO, Dir	C - Cnv Deriv	$0.00	+5.00M	5.00M	New	$0
DI	2026-05-28 20:35	2026-05-26	RKLB	Beck Peter	CEO, Dir	C - Cnv Deriv	$0.00	-5.00M	40.95M	-11%	$0

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	2026-05-26	C	A	5,000,000	$0.00	5,000,000	I by Trust	—	—	(F1) Held directly by the Equatorial Trust (the "Trust"), a family trust settled by the Reporting Person and Kerryn Beck. Peek Street Equatorial Trustee Limited (the "Trustee") is the trustee of the Trust and each of the Reporting Person, Kerryn Beck and Warren Butler serve as a director of the Trustee with shared voting and investment control of the shares and, as a result, the Trustee and each such individual is deemed to be an indirect beneficial owner of the reported securities. The Reporting Person disclaims his beneficial ownership of the reported securities except to the extent of his pecuniary interest.
2	Derivative	Series A Convertible Participating Preferred Stock	2026-05-26	C	D	5,000,000	$0.00	40,951,250	I by Trust	— · — to —	5,000,000 Common Stock	(F2) Each share of Series A Convertible Participating Preferred Stock, $0.0001 par value per share ("Series A Preferred Stock"), is convertible into one share of common stock, par value $0.0001 per share ("Common Stock") of the Registrant at any time at the option of the holder, subject to certain adjustments such as in connection with stock dividends, distributions, stock splits and stock combinations. (F3) On May 26, 2026, the Trust optionally converted 5,000,000 shares of Series A Preferred Stock into 5,000,000 shares of Common Stock pursuant to the terms of the Series A Preferred Stock Certificate of Designation. The Trust converted the shares for purposes of satisfying delivery of shares of Common Stock to the broker for sales to be made in future months under a Rule 10b5-1 Plan adopted by the Trust on March 27, 2026. (F3) On May 26, 2026, the Trust optionally converted 5,000,000 shares of Series A Preferred Stock into 5,000,000 shares of Common Stock pursuant to the terms of the Series A Preferred Stock Certificate of Designation. The Trust converted the shares for purposes of satisfying delivery of shares of Common Stock to the broker for sales to be made in future months under a Rule 10b5-1 Plan adopted by the Trust on March 27, 2026. (F4) Each share of Series A Preferred Stock will automatically convert into one share of Common Stock, upon the earliest to occur of (a) any sale, assignment, transfer, conveyance, hypothecation or other transfer or disposition of such share of Series A Preferred Stock, except for certain permitted transfers described in the Registrant's amended and restated certificate of incorporation, as amended; (b) the first date on which the Reporting Person shall no longer serve as the Chief Executive Officer or such other executive officer position of the Registrant as approved by its Board of Directors; (c) the death or permanent disability of the Reporting Person; or (d) the first date on which the outstanding shares of Series A Preferred Stock no longer represent at least 5% of the beneficial ownership of the Registrant's outstanding Common Stock. (F4) Each share of Series A Preferred Stock will automatically convert into one share of Common Stock, upon the earliest to occur of (a) any sale, assignment, transfer, conveyance, hypothecation or other transfer or disposition of such share of Series A Preferred Stock, except for certain permitted transfers described in the Registrant's amended and restated certificate of incorporation, as amended; (b) the first date on which the Reporting Person shall no longer serve as the Chief Executive Officer or such other executive officer position of the Registrant as approved by its Board of Directors; (c) the death or permanent disability of the Reporting Person; or (d) the first date on which the outstanding shares of Series A Preferred Stock no longer represent at least 5% of the beneficial ownership of the Registrant's outstanding Common Stock. (F1) Held directly by the Equatorial Trust (the "Trust"), a family trust settled by the Reporting Person and Kerryn Beck. Peek Street Equatorial Trustee Limited (the "Trustee") is the trustee of the Trust and each of the Reporting Person, Kerryn Beck and Warren Butler serve as a director of the Trustee with shared voting and investment control of the shares and, as a result, the Trustee and each such individual is deemed to be an indirect beneficial owner of the reported securities. The Reporting Person disclaims his beneficial ownership of the reported securities except to the extent of his pecuniary interest.