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