0001943008-23-000005.txt : 20230228 0001943008-23-000005.hdr.sgml : 20230228 20230228174357 ACCESSION NUMBER: 0001943008-23-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230224 FILED AS OF DATE: 20230228 DATE AS OF CHANGE: 20230228 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: 23687828 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 2023-02-24 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 2023-02-24 4 A 0 140992 0 A 399260 D Class A Common Stock 2023-02-24 4 A 0 50000 0 A 449260 D 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 three equal annual installments on the first three anniversaries of February 13, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date. Includes 333,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. 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 February 13, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date. Includes 383,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. /s/ Marc D'Annunzio Attorney-in-Fact for Mark S. Elliot 2023-02-28