0000947871-24-000254.txt : 20240304
0000947871-24-000254.hdr.sgml : 20240304
20240304173443
ACCESSION NUMBER: 0000947871-24-000254
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240304
FILED AS OF DATE: 20240304
DATE AS OF CHANGE: 20240304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Intercontinental Exchange Holdings, Inc.
CENTRAL INDEX KEY: 0001174746
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
ORGANIZATION NAME: 02 Finance
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39544
FILM NUMBER: 24716444
BUSINESS ADDRESS:
STREET 1: 2100 RIVEREDGE PARKWAY
STREET 2: SUITE 500
CITY: ATLANTA
STATE: GA
ZIP: 30328
BUSINESS PHONE: 7708574700
MAIL ADDRESS:
STREET 1: 2100 RIVEREDGE PARKWAY
STREET 2: SUITE 500
CITY: ATLANTA
STATE: GA
ZIP: 30328
FORMER NAME:
FORMER CONFORMED NAME: INTERCONTINENTALEXCHANGE INC
DATE OF NAME CHANGE: 20020603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Intercontinental Exchange, Inc.
CENTRAL INDEX KEY: 0001571949
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
ORGANIZATION NAME: 02 Finance
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39544
FILM NUMBER: 24716445
BUSINESS ADDRESS:
STREET 1: 5660 NEW NORTHSIDE DRIVE,
STREET 2: THIRD FLOOR
CITY: ATLANTA
STATE: GA
ZIP: 30328
BUSINESS PHONE: 770-857-4700
MAIL ADDRESS:
STREET 1: 5660 NEW NORTHSIDE DRIVE,
STREET 2: THIRD FLOOR
CITY: ATLANTA
STATE: GA
ZIP: 30328
FORMER NAME:
FORMER CONFORMED NAME: IntercontinentalExchange Group, Inc.
DATE OF NAME CHANGE: 20130313
FORMER NAME:
FORMER CONFORMED NAME: Intercontinental Exchange Group, Inc.
DATE OF NAME CHANGE: 20130312
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Bakkt Holdings, Inc.
CENTRAL INDEX KEY: 0001820302
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
ORGANIZATION NAME: 09 Crypto Assets
IRS NUMBER: 981550750
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10000 AVALON BOULEVARD, SUITE 1000
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 678-534-5849
MAIL ADDRESS:
STREET 1: 10000 AVALON BOULEVARD, SUITE 1000
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
FORMER COMPANY:
FORMER CONFORMED NAME: VPC Impact Acquisition Holdings
DATE OF NAME CHANGE: 20200805
4
1
ownership.xml
X0508
4
2024-03-04
0
0001820302
Bakkt Holdings, Inc.
BKKT
0001571949
Intercontinental Exchange, Inc.
5660 NEW NORTHSIDE DRIVE
ATLANTA
GA
30328
0
0
1
0
0001174746
Intercontinental Exchange Holdings, Inc.
5660 NEW NORTHSIDE DRIVE
ATLANTA
GA
30328
0
0
1
0
0
Class A Common Stock
2024-03-04
4
P
0
2762009
0.867
A
7476345
I
See footnote
Class 1 Warrants (right to buy)
1.02
2024-03-04
4
P
0
1381004
0.8670
A
2029-09-04
Class A Common Stock
1381004
1381004
I
See footnote
Class 2 Warrants (right to buy)
1.02
2024-03-04
4
P
0
1381004
0.8670
A
2029-09-04
Class A Common Stock
1381004
1381004
I
See footnote
Acquired in a registered direct offering pursuant to the terms of the Securities Purchase Agreement (the "Purchase Agreement"), dated as of February 29, 2024, between the Issuer and Intercontinental Exchange Holdings, Inc. ("ICEH"). Under the Purchase Agreement, the purchase by ICEH of 2,762,009 shares of Class A Common Stock, Class 1 Warrants to purchase up to 1,381,004 shares of Class A Common Stock, and Class 2 Warrants to purchase up to 1,381,004 shares of Class A Common Stock, closed on March 4, 2024. The closing of the purchase by ICEH of an additional 8,772,016 shares of Class A Common Stock, Class 1 Warrants to purchase up to 4,386,008 shares of Class A Common Stock, and Class 2 Warrants to purchase up to 4,386,008 shares of Class A Common Stock is conditioned on the Issuer obtaining stockholder approval ("Stockholder Approval") for such issuances under the rules and regulations of the New York Stock Exchange and other customary closing conditions.
The Class 1 Warrants and Class 2 Warrants will generally be exercisable beginning September 4, 2024. The Class 1 Warrants and Class 2 Warrants have identical terms, except that the Class 2 Warrants also contain an alternative cashless exercise provision that, after the Issuer obtains Stockholder Approval, will allow the holder of a Class 2 Warrant to exercise on a cashless basis and receive a number of shares of Class A Common Stock equal to 50% of the shares of Class A Common Stock then underlying the Class 2 Warrant if the closing trading price of shares of Class A Common Stock is lower than the exercise price of the Class 2 Warrants for three consecutive trading days.
ICEH is the direct holder of the securities reflected in this Form 4. ICEH is a wholly owned subsidiary of Intercontinental Exchange, Inc.
Intercontinental Exchange, Inc., By: /s/ Andrew J. Surdykowski, General Counsel
2024-03-04
Intercontinental Exchange Holdings, Inc., By: /s/ Andrew J. Surdykowski, General Counsel
2024-03-04