0001871512-24-000004.txt : 20240320 0001871512-24-000004.hdr.sgml : 20240320 20240320213515 ACCESSION NUMBER: 0001871512-24-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240318 FILED AS OF DATE: 20240320 DATE AS OF CHANGE: 20240320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Michael Gavin Constantine CENTRAL INDEX KEY: 0001871512 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 24769242 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] 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 1 primary_doc.xml PRIMARY DOCUMENT X0508 4 2024-03-18 0 0001820302 Bakkt Holdings, Inc. BKKT 0001871512 Michael Gavin Constantine C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA GA 30009 1 1 0 0 CEO and President 0 Class A Common Stock 2024-03-18 4 A 0 211670 0 A 2482960 D Class A Common Stock 2024-03-18 4 A 0 37062 0 A 2520022 D Class A Common Stock 2024-03-18 4 A 0 366188 0 A 2886210 D Class A Common Stock 2024-03-18 4 A 0 1332456 0 A 4218666 D Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals. Includes 1,131,800 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Represents the issuance of shares of Class A common stock resulting from vesting of one-third of PSUs granted on 02/01/2022 and the attainment of performance goals. Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on 02/13/2023 and the attainment of performance goals. 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 2,464,256 shares of Class A Common Stock subject to RSUs awards that remain subject to vesting. /s/ Marc D'Annunzio Attorney-in-Fact for Gavin Constantine Michael 2024-03-20