0001209191-23-058180.txt : 20231211 0001209191-23-058180.hdr.sgml : 20231211 20231211211017 ACCESSION NUMBER: 0001209191-23-058180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231207 FILED AS OF DATE: 20231211 DATE AS OF CHANGE: 20231211 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: 231479812 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 2023-12-07 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 2023-12-07 4 J 0 2114496 0.00 D 637447 I See Footnotes Class A Common Stock 2023-12-07 4 J 0 114810 0.00 D 41357 I See Footnotes Class A Common Stock 2023-12-07 4 J 0 448389 0.00 D 133934 I See Footnotes Class A Common Stock 2023-12-07 4 S 0 225236 1.84 D 412211 I See Footnotes Class A Common Stock 2023-12-07 4 S 0 12782 1.84 D 28575 I See Footnotes Class A Common Stock 2023-12-07 4 S 0 47661 1.84 D 86273 I See Footnotes Class A Common Stock 2023-12-07 4 J 0 47461 0.00 A 505107 D Class A Common Stock 2023-12-07 4 S 0 182646 1.8029 D 322461 D Class A Common Stock 2023-12-08 4 S 0 23939 1.73 D 4636 I See Footnotes Class A Common Stock 2023-12-08 4 S 0 36990 1.73 D 49283 I See Footnotes Class A Common Stock 2023-12-08 4 S 0 46501 1.7111 D 275960 D Class A Common Stock 2023-12-11 4 J 0 412211 0.00 D 0 I See Footnotes Class A Common Stock 2023-12-11 4 J 0 4616 0.00 D 20 I See Footnotes Class A Common Stock 2023-12-11 4 J 0 49252 0.00 D 31 I See Footnotes Class A Common Stock 2023-12-11 4 J 0 9130 0.00 A 285090 D Class A Common Stock 2023-12-11 4 S 0 20 1.67 D 0 I See Footnotes Class A Common Stock 2023-12-11 4 S 0 31 1.67 D 0 I See Footnotes Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest I LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended. 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 (collectively, the "Goldfinch Funds"). The Reporting Person is a Managing Partner of Goldfinch Co-Invest I GP LLC (together with the Goldfinch Funds, the "Goldfinch Entities"). The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein. Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest IB LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended. Represents securities held directly by Goldfinch Co-Invest IB LP. Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest IC LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended. Represents securities held directly by Goldfinch Co-Invest IC LP. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.78 to $1.89, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents shares of the Issuer's Class A Common Stock received by the reporting person in distributions from the Goldfinch Entities, each of which was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended. Includes 275,000 shares of Class A Common Stock subject to Restricted Stock Units that remain subject to vesting. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.76 to $1.86, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.705 to $1.765, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Marc D'Annunzio Attorney-in-Fact for Sean Roberts Collins 2023-12-11