0000899243-21-040390.txt : 20211015 0000899243-21-040390.hdr.sgml : 20211015 20211015191642 ACCESSION NUMBER: 0000899243-21-040390 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211015 FILED AS OF DATE: 20211015 DATE AS OF CHANGE: 20211015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levy Richard N CENTRAL INDEX KEY: 0001413810 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 211327046 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET, SUITE 3900 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VPC Impact Acquisition Holdings Sponsor, LLC CENTRAL INDEX KEY: 0001825041 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 211327047 BUSINESS ADDRESS: STREET 1: 150 NORTH RIVERSIDE PLAZA STREET 2: SUITE 5200 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 705-2788 MAIL ADDRESS: STREET 1: 150 NORTH RIVERSIDE PLAZA STREET 2: SUITE 5200 CITY: CHICAGO STATE: IL ZIP: 60606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bakkt Holdings, Inc. CENTRAL INDEX KEY: 0001820302 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 981550750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5900 WINDWARD PARKWAY, SUITE 450 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 678-534-5849 MAIL ADDRESS: STREET 1: 5900 WINDWARD PARKWAY, SUITE 450 CITY: ALPHARETTA STATE: GA ZIP: 30005 FORMER COMPANY: FORMER CONFORMED NAME: VPC Impact Acquisition Holdings DATE OF NAME CHANGE: 20200805 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-10-15 1 0001820302 Bakkt Holdings, Inc. BKKT 0001825041 VPC Impact Acquisition Holdings Sponsor, LLC C/O VICTORY PARK CAPITAL ADVISORS, LLC 150 NORTH RIVERSIDE PLAZA, SUITE 5200 CHICAGO IL 60606 1 0 1 0 0001413810 Levy Richard N C/O VICTORY PARK CAPITAL ADVISORS, LLC 227 WEST MONROE STREET, SUITE 3900 CHICAGO IL CHICAGO 1 0 1 0 Class A common stock, par value $0.0001 per share 2021-10-15 4 M 0 5124300 A 5124300 D Class B ordinary shares, par value $0.0001 2021-10-15 4 M 0 5124300 0.00 D Class A ordinary shares 5124300 0 D Private Placement Warrants 11.50 2021-10-15 4 A 0 6147440 1.00 D Class A Common Stock 6147440 6147440 D In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing 30 days after the Closing and expire five years after the Closing or earlier upon redemption or liquidation. VPC Impact Acquisition Holdings Sponsor, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Director by Deputization See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of the Reporting Persons to the Issuer. /s/ Brian Munsie, Attorney-in-Fact for VPC Impact Acquisition Holdings Sponsor, LLC 2021-10-15 /s/ Brian Munsie, Attorney-in-Fact for Richard N. Levy 2021-10-15 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

                                                                 Exhibit 99.1

                   Joint Filer Information

Name of Joint Filer:                     VPC Impact Acquisition Holdings
                                         Sponsor, LLC


Address of Joint Filer:                  c/o Victory Park Capital Advisors, LLC
                                         150 North Riverside Plaza, Suite 5200
                                         Chicago, Illinois 60606


Relationship of Joint Filer to Issuer:   10% Owner, Director


Issuer Name and Ticker
or Trading Symbol:                       Bakkt Holdings, Inc. [BKKT]

Date of Event Requiring Statement:
(Month/Day/Year):                        10/15/2021



Name of Joint Filer:                     Richard N. Levy


Address of Joint Filer:                  c/o Victory Park Capital Advisors, LLC
                                         150 North Riverside Plaza, Suite 5200
                                         Chicago, Illinois 60606


Relationship of Joint Filer to Issuer:   10% Owner


Issuer Name and Ticker
or Trading Symbol:                       Bakkt Holdings, Inc. [BKKT]


Date of Event Requiring Statement:
(Month/Day/Year):                        10/15/2021