Rocket Lab SEC Filings

Form 4/A - Statement of changes in beneficial ownership (amendment)

This Form 4/A amends a September 2022 filing to detail Director Michael Griffin's transfer of 456,190 shares to his controlled entity, LogiQ, Inc. The entity subsequently sold these shares at a weighted average price of $5.62. This disclosure ensures accurate reporting of beneficial ownership changes.

Adam C. Spice, Chief Financial Officer of Rocket Lab USA, sold 45,659 common shares on 11/25/2022 at a weighted average price of $4.22. This was a sell-to-cover transaction to satisfy tax withholding obligations upon vesting of restricted stock units. The signal is neutral as it is a routine, non-discretionary tax-related sale.

Arjun Kampani, Senior Vice President, General Counsel and Secretary at Rocket Lab USA, sold 13,810 common shares on November 25, 2022, at a weighted average price of $4.22. This was a sell-to-cover transaction to satisfy tax withholding obligations upon vesting of restricted stock units. The signal is neutral, as it is a routine, non-discretionary sale.

Michael D. Griffin, a Director at Rocket Lab USA, transferred 50,688 shares of common stock from direct to indirect ownership via LogiQ, Inc., a corporation he controls with 50% economic interest. The transaction occurred on 11/28/2022 at $0.00 per share. This is a neutral signal as it represents an internal transfer with no cash exchange.

This is a Notice of Effectiveness for submission type POS AM. The amendment to registration statement file 333-259797 became effective on November 25, 2022. It confirms Rocket Lab USA, Inc. has met requirements to proceed with the registered securities.

This is a Notice of Effectiveness for a POS AM filing. The post-effective amendment to registration statement 333-257440 became effective on November 25 2022. Investors should note the registration is now active for potential future use.

This is a Notice of Effectiveness for submission type POS AM under file 333-264781. The SEC confirmed effectiveness on November 25 2022 for Rocket Lab USA Inc. It enables the company to utilize the registered securities as disclosed in the underlying statement.

This POS AM filing converts prior S-4 and S-1 registrations to Form S-3. It registers up to 279,438,367 shares for resale by selling securityholders from PIPE, Business Combination, and PSC Acquisition. No new securities or proceeds to the company.

This POS AM converts prior S-4 and S-1 registrations to Form S-3 for resale of up to 279,438,367 shares by selling securityholders. Key facts include no new securities registered and no proceeds to the company. Relevance to investors is potential market overhang from large resale volume.

This POS AM converts prior registration statements into a Form S-3 shelf for resale of up to 279,438,367 shares by selling securityholders from the 2021 Business Combination and PSC Acquisition. No new securities are registered. It enables ongoing sales by former equity holders, PIPE investors, and others without company proceeds.