0001871559-24-000005.txt : 20240409 0001871559-24-000005.hdr.sgml : 20240409 20240409204203 ACCESSION NUMBER: 0001871559-24-000005 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: D'Annunzio Marc CENTRAL INDEX KEY: 0001871559 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 24834006 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0508 4/A 2024-03-18 2024-03-20 0 0001820302 Bakkt Holdings, Inc. BKKT 0001871559 D'Annunzio Marc C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA GA 30009 0 1 0 0 General Counsel & Secretary 0 Class A Common Stock 2024-03-18 4 A 0 20334 0 A 586964 D Class A Common Stock 2024-03-18 4 A 0 8894 0 A 595858 D Class A Common Stock 2024-03-18 4 A 0 14645 0 A 610503 D Class A Common Stock 2024-03-18 4 A 0 29297 0 A 639800 D Class A Common Stock 2024-03-18 4 A 0 563816 0 A 1203616 D Class A Common Stock 2024-04-05 4 F 0 13095 0.5156 D 1190521 D Bakkt Opco Units Class A Common Stock 1204712 1204712 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 216,630 shares of Class A Common Stock subject to restricted stock units 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 February 13, 2023 and the attainment of performance goals. 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 245,927 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting. These securities are restricted stock units ("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 809,743 shares of Class A Common Stock subject to RSUs and PSUs 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. Represents incentive units of Bakkt Management LLC, which units are, subject to certain limitations, redeemable at the request of the reporting person in exchange for the indicated number of common units of Bakkt Opco Holdings, LLC "(Bakkt Opco Units") and an equal number of shares of the issuer's Class V Common Stock. Pursuant to the terms of an Amended and Restated Exchange Agreement dated as of May 3, 2022, subject to certain conditions, Bakkt Opco Units together with an equal number of shares of the issuer's Class V Common Stock, are exchangeable by the Reporting Person for shares of the issuer's Class A Common Stock on a one-for-one basis. /s/ Marc D'Annunzio 2024-04-09