0001943008-23-000004.txt : 20230214 0001943008-23-000004.hdr.sgml : 20230214 20230214210102 ACCESSION NUMBER: 0001943008-23-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230210 FILED AS OF DATE: 20230214 DATE AS OF CHANGE: 20230214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Elliot Mark Sonbolian CENTRAL INDEX KEY: 0001943008 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 23633314 MAIL ADDRESS: STREET 1: C/O BAKKT HOLDINGS INC. STREET 2: 10000 AVALON BLVD., 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 X0306 4 2023-02-10 0 0001820302 Bakkt Holdings, Inc. BKKT 0001943008 Elliot Mark Sonbolian C/O BAKKT HOLDINGS INC. 10000 AVALON BLVD., SUITE 1000 ALPHARETTA GA 30009 0 1 0 0 Chief Sales & Mktg Officer Class A Common Stock 2023-02-10 4 F 0 11634 1.64 D 262650 D Class A Common Stock 2023-02-13 4 S 0 4382 1.4803 D 258268 D In connection with the vesting of restricted stock units on February 1, 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 February 1, 2023. Includes 192,328 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 03/11/2022. Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.45 to $1.50, 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. /s/ Marc D'Annunzio Attorney-in-Fact for Mark S. Elliot 2023-02-14