0001871512-23-000001.txt : 20230203 0001871512-23-000001.hdr.sgml : 20230203 20230203194240 ACCESSION NUMBER: 0001871512-23-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230201 FILED AS OF DATE: 20230203 DATE AS OF CHANGE: 20230203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Michael Gavin Constantine CENTRAL INDEX KEY: 0001871512 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 23588021 MAIL ADDRESS: STREET 1: C/O BAKKT HOLDINGS, INC. STREET 2: 5900 WINDWARD PKWY., SUITE 450 CITY: ALPHARETTA STATE: GA ZIP: 30005 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2023-02-01 0 0001820302 Bakkt Holdings, Inc. BKKT 0001871512 Michael Gavin Constantine C/O BAKKT HOLDINGS, INC. 10000 AVALON BLVD., SUITE 1000 ALPHARETTA GA 30009 1 1 0 0 CEO and President Class A Common Stock 2023-02-01 4 S 0 340002 1.5904 D 2446547 D Class A Common Stock 2023-02-03 4 F 0 307580 2 D 2138967 D The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/30/2022. Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.52 to $1.70, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Includes 2,099,489 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. In connection with the vesting of restricted stock units on January 21, 2023, 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 January 20, 2023. /s/ Marc D'Annunzio Attorney-in-Fact for Gavin Constantine Michael 2023-02-03