0001424020-23-000003.txt : 20230608 0001424020-23-000003.hdr.sgml : 20230608 20230608170404 ACCESSION NUMBER: 0001424020-23-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230606 FILED AS OF DATE: 20230608 DATE AS OF CHANGE: 20230608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dow De'Ana CENTRAL INDEX KEY: 0001424020 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 231002782 MAIL ADDRESS: STREET 1: C/O BAKKT HOLDINGS, INC. STREET 2: 10000 AVALON BOULEVARD, SUITE 1000 CITY: ALPHARETTA STATE: GA ZIP: 30009 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 primary_doc.xml PRIMARY DOCUMENT X0407 4 2023-06-06 0 0001820302 Bakkt Holdings, Inc. BKKT 0001424020 Dow De'Ana C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA GA 30009 1 0 0 0 0 Class A Common Stock 2023-06-06 4 A 0 142858 0 A 337178 D Class A Common Stock 2023-06-06 4 A 0 142858 0 A 480036 D These securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. 100% of the RSUs shall vest on the date of the Issuer's next annual meeting of stockholders, provided that the Reporting Person continues to provide service to the Issuer through such date. Includes 142,858 shares of Class A Common Stock subject to RSUs that remain subject to vesting. This grant of RSUs was for Reporting Person's service on the board of managers of Bakkt Trust Company LLC. Includes 285,716 shares of Class A Common Stock subject to RSUs that remain subject to vesting. /s/ Marc D'Annunzio Attorney-in-Fact for De'Ana Dow 2023-06-08