Collins Sean Roberts 4

4 · Bakkt Holdings, Inc. · Filed Nov 17, 2023

Form 4

Period: 2023-11-16

Director

Transactions

Conversion
Bakkt Opco Units
2023-11-16−156,167→ 0 total(indirect: See Footnotes)
→ Class A Common Stock (156,167 underlying)
Conversion
Class A Common Stock
2023-11-16+156,167→ 156,167 total(indirect: See Footnotes)
Conversion
Bakkt Opco Units
2023-11-16−2,751,943→ 0 total(indirect: See Footnotes)
→ Class A Common Stock (2,751,943 underlying)
Conversion
Class A Common Stock
2023-11-16+2,751,943→ 2,751,943 total(indirect: See Footnotes)

Holdings

Footnotes (6)

[F1]Represents securities held directly by Goldfinch Co-Invest I LP.
[F2]The general partner of each of Goldfinch Co-Invest I LP, Goldfinch Co-Invest IB LP and Goldfinch Co-Invest IC LP is Goldfinch Co-Invest I GP LLC. The Reporting Person is a Managing Partner of Goldfinch Co-Invest I GP LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.
[F3]Represents securities held directly by Goldfinch Co-Invest IB LP.
[F4]Includes 275,000 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.
[F5]Represents securities held directly by Goldfinch Co-Invest IC LP.
[F6]Common units of Bakkt Opco Holdings, LLC ("Bakkt Opco Units") and an equal number of shares of the Issuer's Class V Common Stock are, subject to certain limitations, exchangeable from time to time at the holder's option into shares of the Issuer's Class A Common Stock on a one-for-one basis (or, at the Issuer's option, for cash).

Documents

1 file