0001870910-24-000005.txt : 20240409 0001870910-24-000005.hdr.sgml : 20240409 20240409194137 ACCESSION NUMBER: 0001870910-24-000005 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240318 FILED AS OF DATE: 20240409 DATE AS OF CHANGE: 20240409 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexander Karen CENTRAL INDEX KEY: 0001870910 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 24833943 MAIL ADDRESS: STREET 1: C/O BAKKT HOLDINGS, INC. STREET 2: 10000 AVALON BOULEVARD, SUITE 1000 CITY: ALPHARETTE STATE: GA ZIP: 30009 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bakkt Holdings, Inc. CENTRAL INDEX KEY: 0001820302 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] ORGANIZATION NAME: 09 Crypto Assets 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0508 4/A 2024-03-18 2024-03-20 0 0001820302 Bakkt Holdings, Inc. BKKT 0001870910 Alexander Karen C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTE GA 30009 0 1 0 0 Chief Financial Officer 0 Class A Common Stock 2024-03-18 4 A 0 14645 0 A 361018 D Class A Common Stock 2024-03-18 4 A 0 29297 0 A 390385 D Class A Common Stock 2024-03-18 4 A 0 563816 0 A 954201 D Class A Common Stock 2024-03-18 4 A 0 10166 0 A 964367 D Class A Common Stock 2024-04-05 4 F 0 5194 0.5156 D 959173 D Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on February 13, 2023 and the attainment of performance goals. Includes 224,118 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest in two equal annual installments on each anniversary of February 23, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date. Includes 253,415 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting. These securities are RSUs. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The RSUs shall vest in two equal annual installments on the first two anniversaries of March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date. Includes 817,231 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting. These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date. Includes 827,397 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting. In connection with the vesting of PSUs on March 18, 2024, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on March 18, 2024. /s/ Marc D'Annunzio Attorney-in-Fact for Karen Alexander 2024-04-09