Home > Insider Trading > Filing (0001209191-23-058180)

Filing Details

Accession Number:: 0001209191-23-058180
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-12-11 21:10:17
Reporting Period:: 2023-12-07

Accepted Time:: 2023-12-11 21:10:17
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1820302	Bakkt Holdings Inc.	BKKT	Finance Services (6199)	981550750

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1873512	Roberts Sean Collins	C/O Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta GA 30009		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Disposition	2023-12-07	2,114,496	$0.00	637,447	No	4	J	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-07	114,810	$0.00	41,357	No	4	J	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-07	448,389	$0.00	133,934	No	4	J	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-07	225,236	$1.84	412,211	No	4	S	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-07	12,782	$1.84	28,575	No	4	S	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-07	47,661	$1.84	86,273	No	4	S	Indirect	See Footnotes
Class A Common Stock	Acquisiton	2023-12-07	47,461	$0.00	505,107	No	4	J	Direct
Class A Common Stock	Disposition	2023-12-07	182,646	$1.80	322,461	No	4	S	Direct
Class A Common Stock	Disposition	2023-12-08	23,939	$1.73	4,636	No	4	S	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-08	36,990	$1.73	49,283	No	4	S	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-08	46,501	$1.71	275,960	No	4	S	Direct
Class A Common Stock	Disposition	2023-12-11	412,211	$0.00	0	No	4	J	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-11	4,616	$0.00	20	No	4	J	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-11	49,252	$0.00	31	No	4	J	Indirect	See Footnotes
Class A Common Stock	Acquisiton	2023-12-11	9,130	$0.00	285,090	No	4	J	Direct
Class A Common Stock	Disposition	2023-12-11	20	$1.67	0	No	4	S	Indirect	See Footnotes
Class A Common Stock	Disposition	2023-12-11	31	$1.67	0	No	4	S	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	J	Direct
No	4	S	Direct
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Direct
No	4	J	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes
No	4	J	Direct
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes

Footnotes

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.
Represents securities held directly by Goldfinch Co-Invest I LP.
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.
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.
Represents securities held directly by Goldfinch Co-Invest IB LP.
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.
Represents securities held directly by Goldfinch Co-Invest IC LP.
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.
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.
Includes 275,000 shares of Class A Common Stock subject to Restricted Stock Units that remain subject to vesting.
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.
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.