4//SEC Filing
Collins Sean Roberts 4
Accession 0001209191-23-058180
CIK 0001820302other
Filed
Dec 10, 7:00 PM ET
Accepted
Dec 11, 9:10 PM ET
Size
36.3 KB
Accession
0001209191-23-058180
Insider Transaction Report
Form 4
Collins Sean Roberts
Director
Transactions
- Sale
Class A Common Stock
2023-12-08$1.73/sh−23,939$41,414→ 4,636 total(indirect: See Footnotes) - Other
Class A Common Stock
2023-12-11+9,130→ 285,090 total - Sale
Class A Common Stock
2023-12-11$1.67/sh−20$33→ 0 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-11$1.67/sh−31$52→ 0 total(indirect: See Footnotes) - Other
Class A Common Stock
2023-12-07−114,810→ 41,357 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-08$1.73/sh−36,990$63,993→ 49,283 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-07$1.80/sh−182,646$329,292→ 322,461 total - Other
Class A Common Stock
2023-12-11−412,211→ 0 total(indirect: See Footnotes) - Other
Class A Common Stock
2023-12-11−49,252→ 31 total(indirect: See Footnotes) - Other
Class A Common Stock
2023-12-07−2,114,496→ 637,447 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-07$1.84/sh−225,236$414,434→ 412,211 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-07$1.84/sh−47,661$87,696→ 86,273 total(indirect: See Footnotes) - Other
Class A Common Stock
2023-12-07+47,461→ 505,107 total - Other
Class A Common Stock
2023-12-07−448,389→ 133,934 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-07$1.84/sh−12,782$23,519→ 28,575 total(indirect: See Footnotes) - Sale
Class A Common Stock
2023-12-08$1.71/sh−46,501$79,568→ 275,960 total - Other
Class A Common Stock
2023-12-11−4,616→ 20 total(indirect: See Footnotes)
Footnotes (12)
- [F1]Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest I LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- [F10]Includes 275,000 shares of Class A Common Stock subject to Restricted Stock Units that remain subject to vesting.
- [F11]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.76 to $1.86, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F12]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.705 to $1.765, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F2]Represents securities held directly by Goldfinch Co-Invest I LP.
- [F3]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 (collectively, the "Goldfinch Funds"). The Reporting Person is a Managing Partner of Goldfinch Co-Invest I GP LLC (together with the Goldfinch Funds, the "Goldfinch Entities"). The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.
- [F4]Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest IB LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- [F5]Represents securities held directly by Goldfinch Co-Invest IB LP.
- [F6]Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Goldfinch Co-Invest IC LP to its partners. Such distribution was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- [F7]Represents securities held directly by Goldfinch Co-Invest IC LP.
- [F8]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.78 to $1.89, inclusive. The reporting person undertakes to provide Bakkt Holdings, Inc., any security holder of Bakkt Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F9]Represents shares of the Issuer's Class A Common Stock received by the reporting person in distributions from the Goldfinch Entities, each of which was exempt under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
Documents
Issuer
Bakkt Holdings, Inc.
CIK 0001820302
Entity typeother
Related Parties
1- filerCIK 0001873512
Filing Metadata
- Form type
- 4
- Filed
- Dec 10, 7:00 PM ET
- Accepted
- Dec 11, 9:10 PM ET
- Size
- 36.3 KB