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Alexander Karen

Disclosed activity across 1 company

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29783
SEC CIK
0001870910

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Bakkt, Inc.BKKT · Entity 5873Chief Financial OfficerJuly 15, 2026July 17, 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 July 15, 2026 · Filed July 17, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect53,542 Reported balance After 2026-07-15 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-07-15 · Sale · Disposed 657 · Balance 53,542

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

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

Filing footnotes · ownership attribution and instrument terms

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

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

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
July 15, 2026 Filed Jul 17, 2026 17:24 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 657 $8.44 $5,545.08
Disclosure

SEC source: 0001628280-26-048608 · wk-form4_1784309047.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,542

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 25, 2026 Filed Jun 29, 2026 22:08 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 1,907 $7.93 $15,122.51
Disclosure

SEC source: 0001628280-26-046103 · wk-form4_1782770902.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,199

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 21:25 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionStock Option (right to buy) · Derivative 335 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001870910-26-000006 · wk-form4_1779225929.xml · derivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,176

Underlying: Class A Common Stock · 335 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 21:25 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionClass A Common Stock 335 $10.00 $3,350.00
Disclosure

SEC source: 0001870910-26-000006 · wk-form4_1779225929.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,106

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 18,852 shares of Class A Common Stock subject to restricted stock units and performance stock units that remain subject to vesting.

Read SEC document
April 28, 2026 Filed Apr 29, 2026 23:00 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 4,684 $9.13 $42,764.92
Disclosure

SEC source: 0001870910-26-000004 · wk-form4_1777503628.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,771

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 that remain subject to vesting.

Read SEC document
November 14, 2025 Filed Nov 19, 2025 00:09 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 121 $21.61 $2,614.81
Disclosure

SEC source: 0001870910-25-000013 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,499

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 that remain subject to vesting.

Read SEC document
November 12, 2025 Filed Nov 15, 2025 01:54 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionStock Option (right to buy) · Derivative 335 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001870910-25-000012 · primary_doc.xml · derivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,511

Underlying: Class A Common Stock · 335 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: 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 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: 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 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 01:54 UTC Bakkt, Inc. BKKT · Entity 5873 Exercise / conversionClass A Common Stock 335 $10.00 $3,350.00
Disclosure

SEC source: 0001870910-25-000012 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,620

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 that remain subject to vesting.

Read SEC document
October 31, 2025 Filed Nov 5, 2025 00:16 UTC Bakkt, Inc. BKKT · Entity 5873 GrantStock Option (right to buy) · Derivative 26,846 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001870910-25-000011 · primary_doc.xml · derivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,846

Underlying: Class A Common Stock · 26,846 shares

Expires not disclosed

F2 · 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 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: 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 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
August 28, 2025 Filed Aug 30, 2025 00:14 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 483 $8.89 $4,293.87
Disclosure

SEC source: 0001870910-25-000008 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,285

F1 · shares: In connection with the vesting of restricted stock units ("RSUs") on August 26, 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 August 26, 2025.

F1 · price: In connection with the vesting of restricted stock units ("RSUs") on August 26, 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 August 26, 2025.

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

Read SEC document
July 15, 2025 Filed Jul 16, 2025 20:29 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 671 $18.21 $12,218.91
Disclosure

SEC source: 0001870910-25-000007 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,768

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

F2 · balance_after: Includes 51,589 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
April 28, 2025 Filed Apr 30, 2025 21:57 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 4,174 $8.93 $37,273.82
Disclosure

SEC source: 0001870910-25-000006 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,439

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 53,336 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting.

Read SEC document
April 11, 2025 Filed Apr 15, 2025 22:22 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 34,211 $0.00 $0.00
Disclosure

SEC source: 0001870910-25-000005 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,613

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 65,107 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 22:12 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 1,015 $14.84 $15,062.60
Disclosure

SEC source: 0001870910-25-000004 · primary_doc.xml · nonDerivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,403

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 30,897 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 22:12 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 209 $14.84 $3,101.56
Disclosure

SEC source: 0001870910-25-000004 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,418

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.

F1 · price: 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 33,758 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 22:28 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 3,495 $0.00 $0.00
Disclosure

SEC source: 0001870910-25-000003 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,959

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 35,675 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 7, 2025 22:52 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 173 $17.56 $3,037.88
Disclosure

SEC source: 0001870910-25-000001 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,464

F1 · 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.

F1 · 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.

F2 · balance_after: Includes 32,180 shares of Class A Common Stock subject to RSUs and performance stock units that remain subject to vesting.

Read SEC document
December 23, 2024 Filed Dec 26, 2024 23:30 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 362 $27.56 $9,976.72
Disclosure

SEC source: 0001870910-24-000007 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,637

F1 · shares: In connection with the vesting of restricted stock units on December 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 December 20, 2024.

F1 · price: In connection with the vesting of restricted stock units on December 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 December 20, 2024.

F2 · balance_after: Includes 32,666 shares of Class A Common Stock subject to RSUs and performance stock units that remain subject to vesting.

Read SEC document
August 27, 2024 Filed Feb 15, 2025 00:36 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 469 $11.29 $5,295.01
Disclosure

SEC source: 0001870910-25-000002 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,637

F1 · shares: In connection with the vesting of restricted stock units on August 26, 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.

F2 · balance_after: Includes 32,666 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 4, 2024 00:19 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 23,541 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000006 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,355

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 34,084 shares of Class A Common Stock subject to RSUs and performance stock units that remain subject to vesting.

Read SEC document
April 05, 2024 Filed Apr 9, 2024 23:41 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 5,194 $0.52 $2,678.03
Disclosure

SEC source: 0001870910-24-000005 · primary_doc.xml · nonDerivative · entry 5

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 959,173

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 827,397 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.

Read SEC document
March 18, 2024 Filed Mar 21, 2024 00:33 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 43,942 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000004 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,385

F1 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on 02/13/2023 and the attainment of performance goals.

F1 · price: Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on 02/13/2023 and the attainment of performance goals.

F2 · balance_after: Includes 224,118 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting.

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March 18, 2024 Filed Apr 9, 2024 23:41 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 10,166 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000005 · primary_doc.xml · nonDerivative · entry 4

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 964,367

F7 · 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 on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date.

F8 · balance_after: Includes 827,397 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.

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March 18, 2024 Filed Apr 9, 2024 23:41 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 563,816 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000005 · primary_doc.xml · nonDerivative · entry 3

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 954,201

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 817,231 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.

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March 18, 2024 Filed Apr 9, 2024 23:41 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 29,297 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000005 · primary_doc.xml · nonDerivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,385

F3 · 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.

F3 · price: 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.

F4 · balance_after: Includes 253,415 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.

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March 18, 2024 Filed Apr 9, 2024 23:41 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 14,645 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000005 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,018

F1 · shares: Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on February 13, 2023 and the attainment of performance goals.

F1 · price: Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on February 13, 2023 and the attainment of performance goals.

F2 · balance_after: Includes 224,118 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting.

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February 22, 2024 Filed Feb 27, 2024 01:48 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 29,577 $0.96 $28,246.04
Disclosure

SEC source: 0001870910-24-000003 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 346,443

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 224,118 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

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February 18, 2024 Filed Mar 21, 2024 00:33 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 10,166 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000004 · primary_doc.xml · nonDerivative · entry 3

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 964,367

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 on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date.

F5 · price: 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 on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date.

F6 · balance_after: Includes 798,100 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.

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February 18, 2024 Filed Mar 21, 2024 00:33 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 563,816 $0.00 $0.00
Disclosure

SEC source: 0001870910-24-000004 · primary_doc.xml · nonDerivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 954,201

F3 · 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.

F3 · 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.

F4 · balance_after: Includes 787,934 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.

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February 07, 2024 Filed Feb 10, 2024 02:29 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 5,025 $1.42 $7,135.50
Disclosure

SEC source: 0001870910-24-000002 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,020

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 295,645 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

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December 28, 2023 Filed Jan 2, 2024 21:57 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 8,923 $1.84 $16,418.32
Disclosure

SEC source: 0001870910-24-000001 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 381,045

F1 · shares: In connection with the vesting of restricted stock units on December 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 December 21, 2023.

F1 · price: In connection with the vesting of restricted stock units on December 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 December 21, 2023.

F2 · balance_after: Includes 307,796 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

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August 26, 2023 Filed Aug 29, 2023 21:54 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 9,012 $1.31 $11,805.72
Disclosure

SEC source: 0001870910-23-000008 · primary_doc.xml · nonDerivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389,970

F3 · shares: In connection with the vesting of performance stock units on August 26, 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 August 25, 2023.

F3 · price: In connection with the vesting of performance stock units on August 26, 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 August 25, 2023.

F4 · balance_after: Includes 332,546 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

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August 26, 2023 Filed Aug 29, 2023 21:54 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 11,897 $1.31 $15,585.07
Disclosure

SEC source: 0001870910-23-000008 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 398,982

F1 · shares: In connection with the vesting of restricted stock units on August 26, 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 August 25, 2023.

F1 · price: In connection with the vesting of restricted stock units on August 26, 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 August 25, 2023.

F2 · balance_after: Includes 357,545 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

Read SEC document
April 17, 2023 Filed Apr 20, 2023 01:15 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 24,999 $0.00 $0.00
Disclosure

SEC source: 0001870910-23-000007 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 410,879

F1 · shares: Represents shares of Class A common stock issuable to the reporting person based on the attainment of performance goals in respect of performance stock units granted on 08/26/2022 that remain subject to vesting.

F1 · price: Represents shares of Class A common stock issuable to the reporting person based on the attainment of performance goals in respect of performance stock units granted on 08/26/2022 that remain subject to vesting.

F2 · balance_after: Includes 390,545 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting.

Read SEC document
February 24, 2023 Filed Mar 1, 2023 00:24 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001870910-23-000006 · primary_doc.xml · nonDerivative · entry 2

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,880

F3 · 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 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 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 February 13, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date.

F4 · balance_after: Includes 365,546 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.

Read SEC document
February 24, 2023 Filed Mar 1, 2023 00:24 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 140,992 $0.00 $0.00
Disclosure

SEC source: 0001870910-23-000006 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,880

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 315,546 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.

Read SEC document
February 10, 2023 Filed Feb 15, 2023 00:49 UTC Amendment Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 5,080 $1.64 $8,331.20
Disclosure

SEC source: 0001870910-23-000004 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,888

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 174,554 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

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February 10, 2023 Filed Feb 14, 2023 23:44 UTC Bakkt, Inc. BKKT · Entity 5873 Tax withholdingClass A Common Stock 5,080 $1.64 $8,331.20
Disclosure

SEC source: 0001870910-23-000003 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,461

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 281,390 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.

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December 23, 2022 Filed Jan 3, 2023 23:21 UTC Bakkt, Inc. BKKT · Entity 5873 SaleClass A Common Stock 11,487 $1.35 $15,507.45
Disclosure

SEC source: 0001870910-23-000002 · primary_doc.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,968

F1 · shares: Disposition to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Includes 186,705 shares of Class A Common Stock subject to RSUs that remain subject to vesting.

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September 12, 2022 Filed Sep 12, 2022 21:59 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-049574 · doc4.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,455

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 will vest in equal annual installments of the first three anniversaries of the grant date, provided that the Reporting Person's continued employment with the Issuer as of each vest date.

F2 · balance_after: Includes 211,455 shares of Class A Common Stock subject to RSUs that remain subject to vesting.

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February 15, 2022 Filed Feb 17, 2022 23:59 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 36,455 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011015 · doc4.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,455

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 111,455 shares of Class A Common Stock subject to RSUs that remain subject to vesting.

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December 21, 2021 Filed Dec 23, 2021 23:02 UTC Bakkt, Inc. BKKT · Entity 5873 GrantClass A Common Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-071138 · doc4.xml · nonDerivative · entry 1

Alexander Karen · CIK 0001870910 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

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. One-third of the RSUs shall vest on the one year anniversary of the grant date, and one-third of the RSUs shall vest annually thereafter, subject to the Reporting Person's continued employment with the Issuer through each applicable vest date.

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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.