0001209191-22-048517.txt : 20220902 0001209191-22-048517.hdr.sgml : 20220902 20220902163428 ACCESSION NUMBER: 0001209191-22-048517 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220831 FILED AS OF DATE: 20220902 DATE AS OF CHANGE: 20220902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D'Annunzio Marc CENTRAL INDEX KEY: 0001871559 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 221225646 MAIL ADDRESS: STREET 1: C/O BAKKT HOLDINGS, INC. STREET 2: 5500 WINDWARD PKWY., SUITE 450 CITY: ALPHARETTA STATE: GA ZIP: 30005 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: 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 X0306 4 2022-08-31 0 0001820302 Bakkt Holdings, Inc. BKKT 0001871559 D'Annunzio Marc C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA GA 30009 0 1 0 0 General Counsel & Secretary Class A Common Stock 2022-08-31 4 C 0 250000 0.00 A 537491 D Bakkt Opco Units 2022-08-31 4 C 0 250000 0.00 D Class A Common Stock 250000 1304712 D Includes 287,491 shares of Class A Common Stock subject to RSUs that remain subject to vesting. Represents incentive units of Bakkt Management LLC, which units are, subject to certain limitations, redeemable at the request of the Reporting Person in exchange for the indicated number of common units of Bakkt Opco Holdings, LLC "(Bakkt Opco Units") and an equal number of shares of the Issuer's Class V Common Stock. Pursuant to the terms of an Amended and Restated Exchange Agreement dated as of May 3, 2022, subject to certain conditions, Bakkt Opco Units together with an equal number of shares of the Issuer's Class V Common Stock, are exchangeable by the Reporting Person for shares of the Issuer's Class A Common Stock on a one-for-one basis. /s/ Marc D'Annunzio 2022-09-02