0001209191-23-055762.txt : 20231117
0001209191-23-055762.hdr.sgml : 20231117
20231117162859
ACCESSION NUMBER: 0001209191-23-055762
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231116
FILED AS OF DATE: 20231117
DATE AS OF CHANGE: 20231117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Collins Sean Roberts
CENTRAL INDEX KEY: 0001873512
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39544
FILM NUMBER: 231419183
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
doc4.xml
FORM 4 SUBMISSION
X0508
4
2023-11-16
0
0001820302
Bakkt Holdings, Inc.
BKKT
0001873512
Collins Sean Roberts
C/O BAKKT HOLDINGS, INC.
10000 AVALON BOULEVARD, SUITE 1000
ALPHARETTA
GA
30009
1
0
0
0
0
Class A Common Stock
2023-11-16
4
C
0
2751943
0.00
A
2751943
I
See Footnotes
Class A Common Stock
2023-11-16
4
C
0
156167
0.00
A
156167
I
See Footnotes
Class A Common Stock
457646
D
Class A Common Stock
582323
I
See Footnotes
Bakkt Opco Units
2023-11-16
4
C
0
2751943
0.00
D
Class A Common Stock
2751943
0
I
See Footnotes
Bakkt Opco Units
2023-11-16
4
C
0
156167
0.00
D
Class A Common Stock
156167
0
I
See Footnotes
Represents securities held directly by Goldfinch Co-Invest I LP.
The general partner of each of Goldfinch Co-Invest I LP, Goldfinch Co-Invest IB LP and Goldfinch Co-Invest IC LP is Goldfinch Co-Invest I GP LLC. The Reporting Person is a Managing Partner of Goldfinch Co-Invest I GP LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.
Represents securities held directly by Goldfinch Co-Invest IB LP.
Includes 275,000 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.
Represents securities held directly by Goldfinch Co-Invest IC LP.
Common units of Bakkt Opco Holdings, LLC ("Bakkt Opco Units") and an equal number of shares of the Issuer's Class V Common Stock are, subject to certain limitations, exchangeable from time to time at the holder's option into shares of the Issuer's Class A Common Stock on a one-for-one basis (or, at the Issuer's option, for cash).
/s/Marc D'Annunzio Attorney-in-Fact for Sean Roberts Collins
2023-11-17