0001873512-23-000002.txt : 20230608 0001873512-23-000002.hdr.sgml : 20230608 20230608185346 ACCESSION NUMBER: 0001873512-23-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230606 FILED AS OF DATE: 20230608 DATE AS OF CHANGE: 20230608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Collins Sean Roberts CENTRAL INDEX KEY: 0001873512 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 231003375 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] 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 X0407 4 2023-06-06 0 0001820302 Bakkt Holdings, Inc. BKKT 0001873512 Collins Sean Roberts C/O BAKKT HOLDINGS, INC. 10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA GA 30009 1 0 0 0 0 Class A Common Stock 2023-06-06 4 A 0 275000 0 A 457646 D Class A Common Stock 582323 I See Footnotes 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. 100% of the RSUs shall vest on the date of the Issuer's next annual meeting of stockholders, provided that the Reporting Person continues to provide service to the Issuer through such date. Includes 275,000 shares of Class A Common Stock subject to RSUs that remain subject to vesting. Represents 582,323 shares held by Goldfinch Co-Invest IC, LP ("Goldfinch IC"). The general partner of Goldfinch IC is Goldfinch Co-Invest I GP LLC (the "General Partner"). Mr. Collins is the managing partner of the General Partner, and exercises voting and investment control over these shares. Mr. Collins disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. /s/ Marc D'Annunzio Attorney-in-Fact for Sean Roberts Collins 2023-06-08