Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Bakkt, Inc.BKKT · Entity 5873 | Chief Engineering Officer | February 24, 2023 | February 28, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Bakkt, Inc.
Report date February 24, 2023 · Filed February 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 420,125 |
Reported balance
After 2023-02-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-24 · Grant · Acquired 140,992 · Balance 420,125 F1: 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. F2: Includes 333,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. |
| Class A Common StockSEC Table I · non-derivative | Direct | 470,125 |
Reported balance
After 2023-02-24 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-02-24 · Grant · Acquired 50,000 · Balance 470,125 F3: These securities are RSU. 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. F4: Includes 383,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Includes 333,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.
F3: These securities are RSU. 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.
F4: Includes 383,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 24, 2023 Filed Feb 28, 2023 17:00 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001873514-23-000005 · primary_doc.xml · nonDerivative · entry 2 Lewis Michael Leroy · CIK 0001873514 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,125 F3 · shares: These securities are RSU. 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. F3 · price: These securities are RSU. 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. F4 · balance_after: Includes 383,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 17:00 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 140,992 | $0.00 | $0.00 |
DisclosureSEC source: 0001873514-23-000005 · primary_doc.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,125 F1 · shares: 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. F1 · price: 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. F2 · balance_after: Includes 333,320 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 21:19 UTC | Bakkt, Inc. BKKT · Entity 5873 | Tax withholdingClass A Common Stock | 11,631 | $1.64 | $19,074.84 |
DisclosureSEC source: 0001873514-23-000003 · primary_doc.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,133 F1 · shares: In connection with the vesting of restricted stock units on February 1, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on February 1, 2023. F1 · price: In connection with the vesting of restricted stock units on February 1, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on February 1, 2023. F2 · balance_after: Includes 192,328 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. Read SEC document |
| February 03, 2023 Filed Feb 6, 2023 20:52 UTC | Bakkt, Inc. BKKT · Entity 5873 | Tax withholdingClass A Common Stock | 29,650 | $2.00 | $59,300.00 |
DisclosureSEC source: 0001873514-23-000001 · primary_doc.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,764 F1 · shares: In connection with the vesting of restricted stock units on January 21, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on January 20, 2023. F1 · price: In connection with the vesting of restricted stock units on January 21, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on January 20, 2023. F2 · balance_after: Includes 254,414 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. Read SEC document |
| April 15, 2022 Filed Apr 19, 2022 18:22 UTC | Bakkt, Inc. BKKT · Entity 5873 | Tax withholdingClass A Common Stock | 33,744 | $4.64 | $156,572.16 |
DisclosureSEC source: 0001209191-22-024817 · doc4.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · EVP Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,414 F1 · shares: In connection with the vesting and settlement of restricted stock units through the issuance of Class A Common Stock of the Issuer pursuant to the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan, the Issuer withheld Class A Common Stock that would otherwise have been issued to the Reporting Person to satisfy his tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 18, 2022. F2 · balance_after: Includes 287,491 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 19:10 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 87,491 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011036 · doc4.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · EVP Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,158 F1 · shares: 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. Subject to the Reporting Person's continuing employment with the Issuer, the RSU will vest in three equal annual installments on the first three anniversaries of February 1, 2022, provided that the Reporting Person continues to be employed by the Issuer as of each vest date. F2 · balance_after: Includes 354,158 shares of Class A Common Stock subject to RSUs that remain subject to vesting. Read SEC document |
| January 21, 2022 Filed Jan 25, 2022 17:17 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-004836 · doc4.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · EVP Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,667 F1 · shares: 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 January 21, 2022, provided that the Reporting Person continues to be employed by the Issuer as of each vest date. F2 · balance_after: Includes 266,667 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. Read SEC document |
| December 21, 2021 Filed Dec 23, 2021 18:15 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 66,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-071154 · doc4.xml · nonDerivative · entry 1 Lewis Michael Leroy · CIK 0001873514 · EVP Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,667 F1 · shares: 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 full on April 15, 2022 subject to the Reporting Person's continued employment with the Issuer through such date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.