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