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Collins Sean Roberts 4

Accession 0001209191-23-055762

CIK 0001820302other

View on SEC.gov Company Profile

Filed

Nov 16, 7:00 PM ET

Accepted

Nov 17, 4:28 PM ET

Size

14.1 KB

Accession

0001209191-23-055762

Insider Transaction Report

Form 4

Period: 2023-11-16

Bakkt Holdings, Inc.BKKT

Collins Sean Roberts

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

Class A Common Stock
(indirect: See Footnotes)
582,323
Class A Common Stock
457,646

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

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Bakkt Holdings, Inc.

CIK 0001820302

Entity typeother

Related Parties

1

filerCIK 0001873512

Filing Metadata

Form type: 4
Filed: Nov 16, 7:00 PM ET
Accepted: Nov 17, 4:28 PM ET
Size: 14.1 KB

View on SEC.gov