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D'Annunzio Marc

Disclosed activity across 1 company

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29782
SEC CIK
0001871559

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CompanyLast reported asReport datePublished
Bakkt, Inc.BKKT · Entity 5873General Counsel & SecretarySeptember 30, 2026October 02, 2026

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 September 30, 2026 · Filed October 02, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect152,006 Reported balance After 2026-09-30 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-09-30 · Grant · Acquired 45,000 · Balance 152,006

F1: Represents 45,000 restricted stock units ("RSUs") granted to the Reporting Person on September 30, 2026 ("Grant Date"), under the Company's 2021 Omnibus Employee Incentive Plan. The RSUs shall fully vest on the one-year anniversary of the Grant Date, subject to the Reporting Person's continued employment with the Company. Each RSU represents a contingent right to receive one share of the Company's Class A common stock.

F2: Includes 53,553 Restricted Stock Units that remain subject to certain vesting conditions.

Filing footnotes · ownership attribution and instrument terms

F1: Represents 45,000 restricted stock units ("RSUs") granted to the Reporting Person on September 30, 2026 ("Grant Date"), under the Company's 2021 Omnibus Employee Incentive Plan. The RSUs shall fully vest on the one-year anniversary of the Grant Date, subject to the Reporting Person's continued employment with the Company. Each RSU represents a contingent right to receive one share of the Company's Class A common stock.

F2: Includes 53,553 Restricted Stock Units that remain subject to certain vesting conditions.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 30, 2026 Filed Oct 2, 2026 21:32 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-064672 · wk-form4_1790976728.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,006

F1 · shares: Represents 45,000 restricted stock units ("RSUs") granted to the Reporting Person on September 30, 2026 ("Grant Date"), under the Company's 2021 Omnibus Employee Incentive Plan. The RSUs shall fully vest on the one-year anniversary of the Grant Date, subject to the Reporting Person's continued employment with the Company. Each RSU represents a contingent right to receive one share of the Company's Class A common stock.

F2 · balance_after: Includes 53,553 Restricted Stock Units that remain subject to certain vesting conditions.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 22:10 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 1,272 $8.61 $10,951.92
Disclosure

SEC source: 0001628280-26-063636 · wk-form4_1790374208.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,006

F1 · kind: Represents sale to cover tax obligations associated with the vesting of restricted stock units.

F2 · balance_after: Includes 8,553 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
July 15, 2026 Filed Jul 17, 2026 17:26 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 539 $8.44 $4,549.16
Disclosure

SEC source: 0001628280-26-048610 · wk-form4_1784309188.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,278

F1 · shares: Represents sale to cover tax obligations associated with the vesting of restricted stock units.

F2 · balance_after: Includes 12,829 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
June 26, 2026 Filed Jun 29, 2026 22:13 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 1,357 $7.71 $10,462.47
Disclosure

SEC source: 0001628280-26-046107 · wk-form4_1782771218.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 108,817

F3 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/10/2025.

F4 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $7.68 to $7.78, inclusive.

F5 · balance_after: Includes 14,567 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

Read SEC document
June 25, 2026 Filed Jun 29, 2026 22:13 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 1,562 $7.93 $12,386.66
Disclosure

SEC source: 0001628280-26-046107 · wk-form4_1782771218.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 110,174

F1 · shares: Represents sale to cover tax obligations associated with the vesting of restricted stock units.

F2 · balance_after: Includes 14,576 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

Read SEC document
May 15, 2026 Filed May 19, 2026 21:23 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionStock Option (right to buy) · Derivative 1,677 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001871559-26-000006 · wk-form4_1779225812.xml · derivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,874

Underlying: Class A Common Stock · 1,677 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.expiration_date: Represent stock options to purchase shares of the Issuer's Class A Common Stock ("Options") granted on July 29, 2025. The Options are a commitment by the grantee to exercise a predetermined number of Options every quarter for eight quarters (the "Committed Options") at an exercise price per share equal to $10,00, which reflects the fair market value of a share of Class A Common Stock on the grant date. If the reporting person does not exercise the Committed Options in any quarter, then all remaining Options are forfeited. One-eighth of the Options will become exercisable each quarter (each, a "Quarterly Tranche"). The Committed Options are exercisable over a two-day period in the applicable quarter (the "Exercise Period"); provided that if the Exercise Period for a Quarterly Tranche occurs during a blackout period, then such Exercise Period shall instead be the next quarterly Exercise Period.

Read SEC document
May 15, 2026 Filed May 19, 2026 21:23 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionClass A Common Stock 1,677 $10.00 $16,770.00
Disclosure

SEC source: 0001871559-26-000006 · wk-form4_1779225812.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,736

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 14,861 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
April 28, 2026 Filed Apr 29, 2026 22:33 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 3,991 $8.60 $34,322.60
Disclosure

SEC source: 0001871559-26-000004 · wk-form4_1777501977.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 110,059

F3 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/10/2025.

F4 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $8.51 to $8,60, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F5 · balance_after: Includes 14,861 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
April 28, 2026 Filed Apr 29, 2026 22:33 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 3,789 $9.13 $34,593.57
Disclosure

SEC source: 0001871559-26-000004 · wk-form4_1777501977.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 114,050

F1 · shares: Represents sale to cover tax obligations associated with the vesting of restricted stock units.

F2 · balance_after: Includes 18,852 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 20:45 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 5,342 $7.08 $37,814.95
Disclosure

SEC source: 0001871559-26-000002 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel and Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 106,069

F4 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/10/2025.

F3 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $6.8900 to $7.8899, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · balance_after: Includes 30,622 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
March 27, 2026 Filed Mar 31, 2026 20:45 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 6,422 $8.55 $54,908.10
Disclosure

SEC source: 0001871559-26-000002 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel and Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 111,411

F1 · shares: Represents sale to cover tax obligations associated with the vesting of restricted stock units.

F2 · balance_after: Includes 30,622 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
February 24, 2026 Filed Feb 27, 2026 22:49 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 785 $10.09 $7,924.34
Disclosure

SEC source: 0001193125-26-083334 · ownership.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel and Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 117,833

F1 · security: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

F2 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/10/2025.

F3 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $10.0114 to $10.1200, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · balance_after: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
November 14, 2025 Filed Nov 19, 2025 00:38 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 495 $21.61 $10,696.95
Disclosure

SEC source: 0001871559-25-000016 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,618

F1 · shares: In connection with the exercising of Options on November 12, 2025, 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 November 12, 2025.

F1 · price: In connection with the exercising of Options on November 12, 2025, 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 November 12, 2025.

F2 · balance_after: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
November 12, 2025 Filed Nov 15, 2025 02:21 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionStock Option (right to buy) · Derivative 1,677 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001871559-25-000015 · primary_doc.xml · derivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,551

Underlying: Class A Common Stock · 1,677 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Represents stock options to purchase shares of the Issuer's Class A Common Stock ("Options") granted on July 29, 2025, contingent on the Issuer's shareholder approval, which was obtained on October 31, 2025. The Options are a commitment by the grantee to exercise a predetermined number of Options every quarter for eight quarters (the "Committed Options") at an exercise price per share equal to $10,00, which reflects the fair market value of a share of Class A Common Stock on the grant date. If the reporting person does not exercise the Committed Options in any quarter, then all remaining Options are forfeited. One-eighth of the Options will become exercisable each quarter (each, a "Quarterly Tranche"). [Continued to footnote 3]

F3 · derivative.exercise_date: [Continued from footnote 2] The Committed Options will be exercisable over a two-day period in the applicable quarter (the "Exercise Period"); provided that if the Exercise Period for a Quarterly Tranche occurs during a blackout period, then such Exercise Period shall instead be the next quarterly Exercise Period. If the reporting person exercises the Committed Option portion, the remainder of that Quarterly Tranche (the "Optional Exercise Options") will become exercisable for a period of one year. The Optional Exercise Option portion of any Quarterly Tranche will expire at the end of such one-year period. [Continued to footnote 4]

F4 · derivative.exercise_date: [Continued from footnote 3] Notwithstanding the foregoing exercise schedule, following the first quarter after stockholder approval of the Options, any portion of the Options may be exercised earlier than the applicable quarter, provided that shares of Class A Common Stock acquired on exercise of the Optional Exercise Options will be subject to a lock-up period so that the shares acquired on exercise may not be sold or transferred until the originally-scheduled exercise date.

F2 · derivative.expiration_date: Represents stock options to purchase shares of the Issuer's Class A Common Stock ("Options") granted on July 29, 2025, contingent on the Issuer's shareholder approval, which was obtained on October 31, 2025. The Options are a commitment by the grantee to exercise a predetermined number of Options every quarter for eight quarters (the "Committed Options") at an exercise price per share equal to $10,00, which reflects the fair market value of a share of Class A Common Stock on the grant date. If the reporting person does not exercise the Committed Options in any quarter, then all remaining Options are forfeited. One-eighth of the Options will become exercisable each quarter (each, a "Quarterly Tranche"). [Continued to footnote 3]

F3 · derivative.expiration_date: [Continued from footnote 2] The Committed Options will be exercisable over a two-day period in the applicable quarter (the "Exercise Period"); provided that if the Exercise Period for a Quarterly Tranche occurs during a blackout period, then such Exercise Period shall instead be the next quarterly Exercise Period. If the reporting person exercises the Committed Option portion, the remainder of that Quarterly Tranche (the "Optional Exercise Options") will become exercisable for a period of one year. The Optional Exercise Option portion of any Quarterly Tranche will expire at the end of such one-year period. [Continued to footnote 4]

F4 · derivative.expiration_date: [Continued from footnote 3] Notwithstanding the foregoing exercise schedule, following the first quarter after stockholder approval of the Options, any portion of the Options may be exercised earlier than the applicable quarter, provided that shares of Class A Common Stock acquired on exercise of the Optional Exercise Options will be subject to a lock-up period so that the shares acquired on exercise may not be sold or transferred until the originally-scheduled exercise date.

Read SEC document
November 12, 2025 Filed Nov 15, 2025 02:21 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionClass A Common Stock 1,677 $10.00 $16,770.00
Disclosure

SEC source: 0001871559-25-000015 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,113

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
November 03, 2025 Filed Nov 5, 2025 01:29 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionBakkt Opco Units · Derivative 48,188 Not disclosed Not disclosed
Disclosure

SEC source: 0001871559-25-000014 · primary_doc.xml · derivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 48,188 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F2 · kind: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F2 · price: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F2 · derivative.exercise_date: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F2 · derivative.expiration_date: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

Read SEC document
November 03, 2025 Filed Nov 5, 2025 01:29 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionClass A Common Stock 48,188 Not disclosed Not disclosed
Disclosure

SEC source: 0001871559-25-000014 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,436

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On November 3, 2025, pursuant to a reorganization (the "Reorganization"), Bakkt Holdings, Inc. (formerly Bakkt NewCo Holdings, Inc.) became the successor of Bakkt Intermediate Holdings, Inc (formerly Bakkt Holdings, Inc.)("Bakkt") pursuant to merger transactions, in which a subsidiary of Bakkt Holdings, Inc. merged with and into Bakkt Intermediate Holdings, Inc. with Bakkt Intermediate Holdings, Inc. surviving and, immediately following such merger, a subsidiary of Bakkt Holdings, Inc. merged with and into Bakkt OpCo Holdings LLC ("OpCo"), a subsidiary of Bakkt Holdings Intermediate, Inc., with OpCo surviving. The mergers resulted in the Issuer becoming the parent holding company of Bakkt and OpCo, but did not alter the proportionate economic interest of security holders.

F2 · kind: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F2 · price: In accordance with the terms of the OpCo Merger Agreement (as defined in the Form 8-K12B filed by the Issuer on November 3, 2025 (the "8-K")), each membership unit of Bakkt Management, LLC (the "Management Vehicle") outstanding immediately prior to the closing of the Reorganization was exchanged for a corresponding OpCo Incentive Unit (as defined in the 8-K) granted under the Second Amended and Restated Bakkt Equity Incentive Plan, as amended, held by the Management Vehicle, together with the paired share of New Bakkt Class V Common Stock (as defined in the 8-K). Each OpCo Incentive Unit and paired share of New Bakkt Class V Common Stock outstanding immediately prior to the closing of the Reorganization was then exchanged for one validly issued, fully paid, and nonassessable share of Class A Common Stock.

F3 · balance_after: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and performance stock units awards that remain subject to vesting.

Read SEC document
October 31, 2025 Filed Nov 5, 2025 01:29 UTC Bakkt, Inc. BKKT · Entity 5873 GrantStock Option (right to buy) · Derivative 134,228 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001871559-25-000014 · primary_doc.xml · derivative · entry 3

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,228

Underlying: Class A Common Stock · 134,228 shares

Expires not disclosed

F4 · derivative.exercise_date: Represent stock options to purchase shares of the Issuer's Class A Common Stock ("Options") granted on July 29, 2025, contingent on the Issuer's shareholder approval, which was obtained on October 31, 2025. The Options are a commitment by the grantee to exercise a predetermined number of Options every quarter for eight quarters (the "Committed Options") at an exercise price per share equal to $10,00, which reflects the fair market value of a share of Class A Common Stock on the grant date. If the reporting person does not exercise the Committed Options in any quarter, then all remaining Options are forfeited. One-eighth of the Options will become exercisable each quarter (each, a "Quarterly Tranche"). [Continued to footnote 5]

F5 · derivative.exercise_date: [Continued from footnote 4] The Committed Options will be exercisable over a two-day period in the applicable quarter (the "Exercise Period"); provided that if the Exercise Period for a Quarterly Tranche occurs during a blackout period, then such Exercise Period shall instead be the next quarterly Exercise Period. If the reporting person exercises the Committed Option portion, the remainder of that Quarterly Tranche (the "Optional Exercise Options") will become exercisable for a period of one year. The Optional Exercise Option portion of any Quarterly Tranche will expire at the end of such one-year period. [Continued to footnote 6]

F6 · derivative.exercise_date: [Continued from footnote 5] Notwithstanding the foregoing exercise schedule, following the first quarter after stockholder approval of the Options, any portion of the Options may be exercised earlier than the applicable quarter, provided that shares of Class A Common Stock acquired on exercise of the Optional Exercise Options will be subject to a lock-up period so that the shares acquired on exercise may not be sold or transferred until the originally-scheduled exercise date.

F4 · derivative.expiration_date: Represent stock options to purchase shares of the Issuer's Class A Common Stock ("Options") granted on July 29, 2025, contingent on the Issuer's shareholder approval, which was obtained on October 31, 2025. The Options are a commitment by the grantee to exercise a predetermined number of Options every quarter for eight quarters (the "Committed Options") at an exercise price per share equal to $10,00, which reflects the fair market value of a share of Class A Common Stock on the grant date. If the reporting person does not exercise the Committed Options in any quarter, then all remaining Options are forfeited. One-eighth of the Options will become exercisable each quarter (each, a "Quarterly Tranche"). [Continued to footnote 5]

F5 · derivative.expiration_date: [Continued from footnote 4] The Committed Options will be exercisable over a two-day period in the applicable quarter (the "Exercise Period"); provided that if the Exercise Period for a Quarterly Tranche occurs during a blackout period, then such Exercise Period shall instead be the next quarterly Exercise Period. If the reporting person exercises the Committed Option portion, the remainder of that Quarterly Tranche (the "Optional Exercise Options") will become exercisable for a period of one year. The Optional Exercise Option portion of any Quarterly Tranche will expire at the end of such one-year period. [Continued to footnote 6]

F6 · derivative.expiration_date: [Continued from footnote 5] Notwithstanding the foregoing exercise schedule, following the first quarter after stockholder approval of the Options, any portion of the Options may be exercised earlier than the applicable quarter, provided that shares of Class A Common Stock acquired on exercise of the Optional Exercise Options will be subject to a lock-up period so that the shares acquired on exercise may not be sold or transferred until the originally-scheduled exercise date.

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July 15, 2025 Filed Jul 16, 2025 21:47 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 559 $18.21 $10,179.39
Disclosure

SEC source: 0001871559-25-000011 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,248

F1 · shares: Represents sale to cover tax obligations associated with the vesting of performance stock units ("PSUs").

F2 · balance_after: Includes 50,229 shares of Class A Common Stock subject to restricted stock units and PSU awards that remain subject to vesting.

Read SEC document
May 14, 2025 Filed May 16, 2025 00:06 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 10,000 $14.21 $142,082.00
Disclosure

SEC source: 0001871559-25-000006 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,807

F1 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $13.34 to $14.50, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · balance_after: Includes 51,976 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

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April 28, 2025 Filed Apr 30, 2025 22:21 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 3,501 $8.93 $31,263.93
Disclosure

SEC source: 0001871559-25-000005 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,807

F1 · shares: In connection with the vesting of restricted stock units ("RSUs") on April 22, 2025, 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 April 22, 2025.

F1 · price: In connection with the vesting of restricted stock units ("RSUs") on April 22, 2025, 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 April 22, 2025.

F2 · balance_after: Includes 51,976 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

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April 11, 2025 Filed Apr 16, 2025 00:08 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 34,211 $0.00 $0.00
Disclosure

SEC source: 0001871559-25-000004 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,308

F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Class A Common Stock of the issuer. 50% of the RSUs shall vest on the one year anniversary of the grant date, 12.5% shall vest on the fifteen (15) month anniversary of the grant date, 12.5% shall vest on the eighteen (18) month anniversary of the grant date, 12.5% shall vest on the twenty one (21) month anniversary of the grant date, and 12.5% shall vest on the twenty four (24) month anniversary of the grant date, provided that the reporting person continues to provide services to the issuer through each such date.

F1 · price: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Class A Common Stock of the issuer. 50% of the RSUs shall vest on the one year anniversary of the grant date, 12.5% shall vest on the fifteen (15) month anniversary of the grant date, 12.5% shall vest on the eighteen (18) month anniversary of the grant date, 12.5% shall vest on the twenty one (21) month anniversary of the grant date, and 12.5% shall vest on the twenty four (24) month anniversary of the grant date, provided that the reporting person continues to provide services to the issuer through each such date.

F2 · balance_after: Includes 63,747 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

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February 19, 2025 Filed Feb 21, 2025 22:36 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 852 $14.84 $12,643.68
Disclosure

SEC source: 0001871559-25-000003 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,098

F3 · shares: In connection with the vesting of RSUs on February 13, 2025, 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 13, 2025.

F3 · price: In connection with the vesting of RSUs on February 13, 2025, 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 13, 2025.

F4 · balance_after: Includes 29,537 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
February 19, 2025 Filed Feb 21, 2025 22:36 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 174 $14.84 $2,582.16
Disclosure

SEC source: 0001871559-25-000003 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,950

F1 · shares: In connection with the vesting of performance stock units ("PSUs") on February 13, 2025, 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 13, 2025.

F2 · balance_after: Includes 32,398 shares of Class A Common Stock subject to restricted stock units ("RSUs") and PSUs that remain subject to vesting.

Read SEC document
February 13, 2025 Filed Feb 18, 2025 23:03 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 3,495 $0.00 $0.00
Disclosure

SEC source: 0001871559-25-000002 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,124

F1 · shares: These securities are performance stock units ("PSUs") resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest in two equal annual installments on July 12, 2025 and July 12, 2026, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F1 · price: These securities are performance stock units ("PSUs") resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest in two equal annual installments on July 12, 2025 and July 12, 2026, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F2 · balance_after: Includes 32,983 shares of Class A Common Stock subject to restricted stock units and PSU awards that remain subject to vesting.

Read SEC document
February 05, 2025 Filed Feb 8, 2025 00:42 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 347 $17.56 $6,093.32
Disclosure

SEC source: 0001871559-25-000001 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,629

F3 · shares: In connection with the vesting of restricted stock units on February 1, 2025, 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 31, 2025.

F3 · price: In connection with the vesting of restricted stock units on February 1, 2025, 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 31, 2025.

F4 · balance_after: Includes 29,488 shares of Class A Common Stock subject to RSUs and performance stock units that remain subject to vesting.

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January 22, 2025 Filed Feb 8, 2025 00:42 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 809 $28.84 $23,331.56
Disclosure

SEC source: 0001871559-25-000001 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,976

F1 · shares: In connection with the vesting of restricted stock units on January 21, 2025, 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 21, 2025.

F1 · price: In connection with the vesting of restricted stock units on January 21, 2025, 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 21, 2025.

F2 · balance_after: Includes 30,654 shares of Class A Common Stock subject to RSUs and performance stock units that remain subject to vesting.

Read SEC document
May 30, 2024 Filed Jun 3, 2024 23:43 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 23,541 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000007 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,789

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 two equal annual installments on the first two anniversaries of May 30, 2024, 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 two equal annual installments on the first two anniversaries of May 30, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F2 · balance_after: Includes 37,211 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

Read SEC document
April 22, 2024 Filed Apr 24, 2024 22:43 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 20,504 $0.40 $8,174.94
Disclosure

SEC source: 0001871559-24-000006 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 606,201

F1 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 05/22/2023.

F2 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $0.3909 to $0.4050, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F3 · balance_after: Includes 341,760 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

Read SEC document
April 05, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 13,095 $0.52 $6,751.78
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 6

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,190,521

F9 · shares: In connection with the vesting of PSUs on March 18, 2024, 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 March 18, 2024.

F9 · price: In connection with the vesting of PSUs on March 18, 2024, 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 March 18, 2024.

F8 · balance_after: Includes 809,743 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Mar 21, 2024 01:15 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 563,816 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000004 · primary_doc.xml · nonDerivative · entry 4

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,203,616

F5 · shares: These securities are RSUs. 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 March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F5 · price: These securities are RSUs. 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 March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F6 · balance_after: Includes 780,446 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Mar 21, 2024 01:15 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 43,942 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000004 · primary_doc.xml · nonDerivative · entry 3

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 639,800

F4 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on 02/13/2023 and the attainment of performance goals.

F4 · price: Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on 02/13/2023 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Mar 21, 2024 01:15 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 8,894 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000004 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,858

F3 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 02/01/2022 and the attainment of performance goals.

F3 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 02/01/2022 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Mar 21, 2024 01:15 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 20,334 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000004 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 586,964

F1 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals.

F1 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 563,816 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 5

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,203,616

F7 · 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 two equal annual installments on the first two anniversaries of March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F7 · 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 two equal annual installments on the first two anniversaries of March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F8 · balance_after: Includes 809,743 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 29,297 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 4

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 639,800

F5 · shares: These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest in two equal annual installments on each anniversary of February 23, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F6 · balance_after: Includes 245,927 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 14,645 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 3

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 610,503

F4 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on February 13, 2023 and the attainment of performance goals.

F4 · price: Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on February 13, 2023 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 8,894 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,858

F3 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of PSUs granted on 02/01/2022 and the attainment of performance goals.

F3 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of PSUs granted on 02/01/2022 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Apr 10, 2024 00:42 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 20,334 $0.00 $0.00
Disclosure

SEC source: 0001871559-24-000005 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 586,964

F1 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals.

F1 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
February 23, 2024 Filed Feb 27, 2024 02:28 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 50,247 $0.88 $44,046.52
Disclosure

SEC source: 0001871559-24-000003 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 566,630

F3 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 05/22/2023.

F4 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $0.85 to $0.9251, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
February 22, 2024 Filed Feb 27, 2024 02:28 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 21,280 $0.96 $20,322.40
Disclosure

SEC source: 0001871559-24-000003 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 616,877

F1 · shares: In connection with the vesting of restricted stock units on February 13, 2024, 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 13, 2024.

F1 · price: In connection with the vesting of restricted stock units on February 13, 2024, 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 13, 2024.

F2 · balance_after: Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
February 08, 2024 Filed Feb 10, 2024 02:13 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 19,329 $0.98 $18,926.96
Disclosure

SEC source: 0001871559-24-000002 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 638,157

F3 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 05/22/2023.

F4 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $0.89 to $1.04, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · balance_after: Includes 288,157 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
February 07, 2024 Filed Feb 10, 2024 02:13 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 9,834 $1.42 $13,964.28
Disclosure

SEC source: 0001871559-24-000002 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 657,486

F1 · shares: In connection with the vesting of restricted stock units on February 1, 2024, 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, 2024.

F1 · price: In connection with the vesting of restricted stock units on February 1, 2024, 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, 2024.

F2 · balance_after: Includes 288,157 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

Read SEC document
January 25, 2024 Filed Jan 30, 2024 00:19 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 42,807 $1.27 $54,249.31
Disclosure

SEC source: 0001871559-24-000001 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 667,320

F3 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 05/22/2023.

F4 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.29, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · balance_after: Includes 317,320 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

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January 25, 2024 Filed Jan 30, 2024 00:19 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 23,193 $1.39 $32,238.27
Disclosure

SEC source: 0001871559-24-000001 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 710,127

F1 · shares: In connection with the vesting of restricted stock units on January 21, 2024, 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 19, 2024.

F1 · price: In connection with the vesting of restricted stock units on January 21, 2024, 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 19, 2024.

F2 · balance_after: Includes 317,320 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

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April 28, 2023 Filed May 2, 2023 01:23 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 50,237 $1.37 $68,754.36
Disclosure

SEC source: 0001871559-23-000006 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 754,956

F1 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/05/2022.

F2 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.35 to $1.40, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F3 · balance_after: Includes 383,320 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.

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April 28, 2023 Filed May 2, 2023 22:31 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 50,237 $1.37 $68,754.36
Disclosure

SEC source: 0001871559-23-000008 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 733,320

F1 · shares: The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/05/2022.

F2 · price: Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.35 to $1.40, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F3 · balance_after: Includes 383,320 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.

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April 17, 2023 Filed Apr 20, 2023 01:38 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 21,873 $0.00 $0.00
Disclosure

SEC source: 0001871559-23-000005 · primary_doc.xml · nonDerivative · entry 2

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 805,193

F3 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units granted on 02/01/2022 and the attainment of performance goals.

F3 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units granted on 02/01/2022 and the attainment of performance goals.

F2 · balance_after: Includes 383,320 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.

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April 17, 2023 Filed Apr 20, 2023 01:38 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001871559-23-000005 · primary_doc.xml · nonDerivative · entry 1

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 783,320

F1 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units granted on 01/21/2022 and the attainment of performance goals.

F1 · price: Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units granted on 01/21/2022 and the attainment of performance goals.

F2 · balance_after: Includes 383,320 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.

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April 17, 2023 Filed May 2, 2023 22:19 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 6,585 $1.47 $9,679.95
Disclosure

SEC source: 0001871559-23-000007 · primary_doc.xml · nonDerivative · entry 4

D'Annunzio Marc · CIK 0001871559 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 783,557

F4 · shares: In connection with the vesting of PSUs on April 17, 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 April 17, 2023.

F4 · price: In connection with the vesting of PSUs on April 17, 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 April 17, 2023.

F2 · balance_after: Includes 383,320 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.