0000899243-23-017463.txt : 20230720 0000899243-23-017463.hdr.sgml : 20230720 20230720160007 ACCESSION NUMBER: 0000899243-23-017463 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230719 FILED AS OF DATE: 20230720 DATE AS OF CHANGE: 20230720 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: 231099671 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: 231099672 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: FINANCE SERVICES [6199] 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 doc4.xml FORM 4 SUBMISSION X0508 4 2023-07-19 0 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 0 1 See Remarks 0001413810 Levy Richard N C/O VICTORY PARK CAPITAL ADVISORS, LLC 150 NORTH RIVERSIDE PLAZA, SUITE 5200 CHICAGO IL 60606 1 0 0 1 See Remarks 0 Class A common stock, par value $0.0001 per share 2023-07-19 4 S 0 600 1.85 D 4603069 D The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") 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 VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. The reporting persons both may be deemed a 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/ Sam Tuttleman, Attorney-in-Fact for VPC Impact Acquisition Holdings Sponsor, LLC 2023-07-20 /s/ Sam Tuttleman, Attorney-in-Fact for Richard N. Levy 2023-07-20 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:  Director (See Remarks)


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

Date of Event Requiring Statement:
(Month/Day/Year):                      07/19/2023






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:  Director (See Remarks)


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


Date of Event Requiring Statement:
(Month/Day/Year):                       07/19/2023