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