09/17/2025 | Press release | Distributed by Public on 09/17/2025 19:14
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beck Peter C/O ROCKET LAB USA, INC. 3881 MCGOWEN STREET LONG BEACH, CA 90808 |
X | President, CEO and Chairman | ||
Beck Kerryn C/O ROCKET LAB USA, INC. 3881 MCGOWEN STREET LONG BEACH, CA 90808 |
Voluntary Filer | |||
Butler Warren C/O ROCKET LAB USA, INC. 3881 MCGOWEN STREET LONG BEACH, CA 90808 |
Voluntary Filer | |||
Equatorial Trust C/O ROCKET LAB CORPORATION 3881 MCGOWEN STREET LONG BEACH, CA 90808 |
Voluntary Filer | |||
Peek Street Equatorial Trustee Ltd C/O ROCKET LAB CORPORATION 3881 MCGOWEN STREET LONG BEACH, CA 90808 |
Voluntary Filer |
/s/ Adam Spice, as Attorney-in-Fact for Peter Beck | 09/17/2025 | |
**Signature of Reporting Person | Date | |
/s/ Adam Spice, as Attorney-in-Fact for Kerryn Beck | 09/17/2025 | |
**Signature of Reporting Person | Date | |
/s/ Adam Spice, as Attorney-in-Fact for Warren Butler | 09/17/2025 | |
**Signature of Reporting Person | Date | |
/s/ Adam Spice, as Attorney-in-Fact for Equatorial Trust | 09/17/2025 | |
**Signature of Reporting Person | Date | |
/s/ Adam Spice, as Attorney-in-Fact for Peek Street Equatorial Trustee Limited | 09/17/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Equatorial Trust (the "Trust") on June 13, 2025. |
(2) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.7900 to $53.7875, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(3) | These shares are held directly by the Trust. Peek Street Equatorial Trustee Limited (the "Trustee") is the trustee of the Trust and each of Peter Beck, 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 these securities. Each reporting person disclaims beneficial ownership of these securities, except to the extent, if any, of his, her or its pecuniary interest therein, and the filing of this Form 4 is not an admission that any reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
(4) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.7900 to $54.7800, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(5) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.7900 to $55.1600, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(6) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.4100 to $48.4050, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(7) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.4100 to $49.4050, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(8) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.4100 to $50.4050, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(9) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.4100 to $51.4000, inclusive. The reporting persons undertake 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 range set forth in this footnote. |
(10) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.4100 to $52.0500, inclusive. The reporting persons undertake 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 range set forth in this footnote. |