Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Bakkt, Inc.BKKT · Entity 5873 | Director · See Remarks | December 29, 2023 | December 29, 2023 |
| KATY INDUSTRIES INCKATY · Entity 174161 | 10% owner · Possible member of 10% group | July 21, 2017 | July 31, 2017 |
| VPC Impact Acquisition Holdings IIVPCB · Entity 139939 | 10% owner | April 18, 2021 | April 29, 2021 |
| ZeroFox Holdings, Inc.LNFA · Entity 91031 | Director · 10% owner | November 18, 2020 | November 18, 2020 |
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 December 29, 2023 · Filed December 29, 2023
Jointly reported with VPC Impact Acquisition Holdings Sponsor, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,195,441 |
Reported balance
After 2023-12-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-12-29 · Sale · Disposed 393,125 · Balance 2,195,441 F1: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.39-2.74, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.39-2.74, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
F2: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
KATY INDUSTRIES INC
Report date July 21, 2017 · Filed July 31, 2017
Jointly reported with Victory Park Capital Advisors, LLC, VPC SBIC I, LP, VPC SBIC GP, LLC, Victory Park Management, LLC, Jacob Capital, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible DebtSEC Table II · derivative / convertible security | IndirectBy Jansan Acquisition LLC | Not disclosed |
Reported balance
After 2017-07-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-07-21 · Other · Disposed Not disclosed · Balance Not disclosed F1: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F2: On July 21, 2017, Jansan Acquisition LLC ("Jansan"), the Issuer, Continental Commercial Products, LLC, Fort Wayne Plastics, Inc. and FTW Holdings, Inc. consummated the transactions contemplated by the Asset Purchase Agreement, dated as of May 14, 2017 (the "Purchase Agreement"). In accordance with the Purchase Agreement, Jansan acquired the Purchased Assets (as defined in the Purchase Agreement) with a credit bid in the amount of the indebtedness under the Issuer's second lien credit facility, including the convertible term loans (the "Term Loans") thereunder. As a result, the Term Loans were satisfied and, as such, the Reporting Persons no longer beneficially own any of the Common Stock previously issuable upon conversion of the Term Loans. F3: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F4: This Form 4 is being filed by Victory Park Capital Advisors, LLC ("VPC Advisors") as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). VPC Advisors is the investment manager of the SBIC Fund. VPC SBIC GP, LLC (the "SBIC GP") is the general partner of the SBIC Fund. Jacob Capital L.L.C. ("Jacob Capital") is the sole member of the SBIC GP and the sole manager of VPC Advisors. Richard Levy ("Levy") is the sole member of Jacob Capital. |
Filing footnotes · ownership attribution and instrument terms
F1: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum.
F2: On July 21, 2017, Jansan Acquisition LLC ("Jansan"), the Issuer, Continental Commercial Products, LLC, Fort Wayne Plastics, Inc. and FTW Holdings, Inc. consummated the transactions contemplated by the Asset Purchase Agreement, dated as of May 14, 2017 (the "Purchase Agreement"). In accordance with the Purchase Agreement, Jansan acquired the Purchased Assets (as defined in the Purchase Agreement) with a credit bid in the amount of the indebtedness under the Issuer's second lien credit facility, including the convertible term loans (the "Term Loans") thereunder. As a result, the Term Loans were satisfied and, as such, the Reporting Persons no longer beneficially own any of the Common Stock previously issuable upon conversion of the Term Loans.
F3: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
F4: This Form 4 is being filed by Victory Park Capital Advisors, LLC ("VPC Advisors") as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). VPC Advisors is the investment manager of the SBIC Fund. VPC SBIC GP, LLC (the "SBIC GP") is the general partner of the SBIC Fund. Jacob Capital L.L.C. ("Jacob Capital") is the sole member of the SBIC GP and the sole manager of VPC Advisors. Richard Levy ("Levy") is the sole member of Jacob Capital.
VPC Impact Acquisition Holdings II
Report date April 18, 2021 · Filed April 29, 2021 · Amendment
Jointly reported with VPC Impact Acquisition Holdings Sponsor II, LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | 6,334,617 |
Reported balance
After 2021-04-18 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2021-04-18 · Other · Disposed 0 · Balance 6,334,617 F1: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the underwriters' election to only partially exercise its over-allotment option. F2: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F3: VPC Impact Acquisition Holdings Sponsor II, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor II, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor II, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the underwriters' election to only partially exercise its over-allotment option.
F2: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date.
F3: VPC Impact Acquisition Holdings Sponsor II, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor II, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor II, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
ZeroFox Holdings, Inc.
Report date November 18, 2020 · Filed November 18, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | IndirectBy JAR Sponsor, LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2020-11-18 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249497) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2: The Class B ordinary shares owned by the reporting person include up to 562,500 shares that are subject to forfeiture to the extent the underwriter of the initial public offering of the issuer's securities does not exercise in full over-allotment option as described in the issuer's registration statement. F3: The securities reported on this Form 3 are held by JAR Sponsor, LLC (the "Sponsor"). The reporting person controls the Sponsor, and as such, has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of the securities reported hereby except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249497) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
F2: The Class B ordinary shares owned by the reporting person include up to 562,500 shares that are subject to forfeiture to the extent the underwriter of the initial public offering of the issuer's securities does not exercise in full over-allotment option as described in the issuer's registration statement.
F3: The securities reported on this Form 3 are held by JAR Sponsor, LLC (the "Sponsor"). The reporting person controls the Sponsor, and as such, has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of the securities reported hereby except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purposes.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Dave Inc./DE
Report date January 05, 2022 · Filed January 06, 2022
Jointly reported with VPC Impact Acquisition Holdings Sponsor III, LLC
Section 16 reporting ended · disclosed 2022-01-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 5,341,528 |
Reported balance
After 2022-01-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-01-05 · Exercise / conversion · Acquired 5,341,528 · Balance 5,341,528 F1: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). |
| Class B common stock, par value $0.0001SEC Table II · derivative / convertible security | Direct | 5,341,528 |
Reported balance
After 2022-01-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-01-05 · Disposition to issuer · Disposed 942,622 · Balance 5,341,528 F1: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F3: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
| Class B common stock, par value $0.0001SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-01-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-01-05 · Exercise / conversion · Disposed 5,341,528 · Balance 0 F1: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F3: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
| Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-01-05 | Direct | 5,100,214 |
Reported balance
After 2022-01-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-01-05 · Grant · Acquired 5,100,214 · Balance 5,100,214 F2: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. 5,100,214 Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with the Issuer's initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing the later of (x) 30 days after the Closing and (y) 12 months from the closing of the Issuer's initial public offering, and expire five years after the Closing or earlier upon redemption or liquidation. F3: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577).
F2: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. 5,100,214 Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with the Issuer's initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing the later of (x) 30 days after the Closing and (y) 12 months from the closing of the Issuer's initial public offering, and expire five years after the Closing or earlier upon redemption or liquidation.
F3: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 29, 2023 Filed Dec 29, 2023 18:30 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 393,125 | $2.56 | $1,005,810.31 |
DisclosureSEC source: 0000950170-23-073940 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,195,441 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.39-2.74, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 28, 2023 Filed Dec 28, 2023 18:39 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 360,544 | $2.31 | $832,748.48 |
DisclosureSEC source: 0000950170-23-073641 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,588,566 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.30-2.36, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 27, 2023 Filed Dec 27, 2023 17:38 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 753,001 | $2.25 | $1,695,833.55 |
DisclosureSEC source: 0000950170-23-073391 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,949,110 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00-2.392, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 20, 2023 Filed Dec 20, 2023 18:54 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 237,711 | $2.01 | $478,631.10 |
DisclosureSEC source: 0000950170-23-072001 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,702,111 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00-2.1514, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 19, 2023 Filed Dec 19, 2023 19:18 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 144,484 | $2.01 | $290,513.98 |
DisclosureSEC source: 0000950170-23-071671 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,939,822 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00-2.0608, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 06, 2023 Filed Dec 6, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 40,283 | $2.05 | $82,757.40 |
DisclosureSEC source: 0000950170-23-068558 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,103,069 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.05-2.0719, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 06, 2023 Filed Dec 7, 2023 16:11 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 18,763 | $2.05 | $38,494.17 |
DisclosureSEC source: 0000950170-23-068806 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,084,306 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.05-2.0614, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 05, 2023 Filed Dec 5, 2023 20:49 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 276,898 | $2.05 | $568,803.87 |
DisclosureSEC source: 0000950170-23-068408 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,143,352 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.05-2.0914, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 04, 2023 Filed Dec 4, 2023 19:38 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 182,819 | $2.10 | $384,687.74 |
DisclosureSEC source: 0000950170-23-067880 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,420,250 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.10-2.131, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 19, 2023 Filed Jul 20, 2023 16:00 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 600 | $1.85 | $1,110.00 |
DisclosureSEC source: 0000899243-23-017463 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,603,069 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at the same price through a trade order executed by a broker-dealer. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 17, 2023 Filed Jul 17, 2023 16:24 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 40,585 | $1.87 | $76,019.76 |
DisclosureSEC source: 0000950170-23-033210 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,603,669 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.85-1.935, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 14, 2023 Filed Jul 14, 2023 17:42 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 400,000 | $2.07 | $828,000.00 |
DisclosureSEC source: 0000950170-23-033072 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,644,254 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.88-2.18, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 13, 2023 Filed Jul 14, 2023 16:01 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 400,000 | $1.65 | $659,920.00 |
DisclosureSEC source: 0000950170-23-032987 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,044,254 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.57-1.77, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 12, 2023 Filed Jul 12, 2023 16:32 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 400,000 | $1.57 | $629,680.00 |
DisclosureSEC source: 0000950170-23-032674 · ownership.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,444,254 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.54-1.6708, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 11, 2023 Filed Jul 11, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 200,000 | $1.58 | $315,460.00 |
DisclosureSEC source: 0000899243-23-017352 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,844,254 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.55-1.7108, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| May 18, 2023 Filed May 19, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 54,914 | $1.41 | $77,571.52 |
DisclosureSEC source: 0000899243-23-013335 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,044,254 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40-1.435, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| May 01, 2023 Filed May 1, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | OtherClass A common stock, par value $0.0001 per share | 1,357,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-011922 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,099,168 F1 · kind: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to two of its members and equityholders of one of its members an aggregate of 1,357,389 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F1 · price: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to two of its members and equityholders of one of its members an aggregate of 1,357,389 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F2 · ownership.direct: VIH Sponsor is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 22,488 | $1.53 | $34,417.88 |
DisclosureSEC source: 0000899243-23-011371 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,456,557 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.530-1.535, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| April 03, 2023 Filed Apr 3, 2023 18:07 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 20,000 | $1.67 | $33,320.00 |
DisclosureSEC source: 0000899243-23-010259 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,479,045 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.65-1.685, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| March 31, 2023 Filed Apr 3, 2023 16:30 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 74,495 | $1.70 | $126,641.50 |
DisclosureSEC source: 0000899243-23-010228 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · See Remarks Levy Richard N · CIK 0001413810 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,499,045 F1 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| March 14, 2023 Filed Mar 14, 2023 17:35 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 50,000 | $1.32 | $66,000.00 |
DisclosureSEC source: 0000899243-23-008452 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,573,540 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.30-1.40, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 13, 2023 Filed Jan 13, 2023 16:10 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 100,000 | $2.06 | $206,100.00 |
DisclosureSEC source: 0000899243-23-001736 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,623,540 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00-2.30, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 06, 2023 Filed Jan 13, 2023 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | OtherClass A common stock, par value $0.0001 per share | 349,510 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-001734 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,723,540 F1 · kind: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to equityholders of one of its members an aggregate of 349,510 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F1 · price: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to equityholders of one of its members an aggregate of 349,510 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F2 · ownership.direct: VIH Sponsor is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 01, 2022 Filed Dec 1, 2022 16:06 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 69,640 | $1.78 | $124,237.76 |
DisclosureSEC source: 0000899243-22-037277 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,073,050 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.770-1.8016, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 17, 2022 Filed Nov 18, 2022 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 170,000 | $1.94 | $329,970.00 |
DisclosureSEC source: 0000899243-22-036363 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,142,690 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.9-2.015, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 26, 2022 Filed Oct 26, 2022 16:05 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 7,500 | $2.33 | $17,482.50 |
DisclosureSEC source: 0000899243-22-034250 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,312,690 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.3309-2.3312, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| May 19, 2022 Filed May 23, 2022 11:41 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 16,000 | $2.73 | $43,680.00 |
DisclosureSEC source: 0000899243-22-019185 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,320,190 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.72-2.7616, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| February 16, 2022 Filed Feb 17, 2022 18:27 UTC | Bakkt, Inc. BKKT · Entity 5873 | OtherClass A common stock, par value $0.0001 per share | 627,361 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-006857 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,336,190 F1 · kind: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to two of its members an aggregate of 627,361 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F1 · price: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") distributed for no consideration to two of its members an aggregate of 627,361 shares of Class A common stock of the Issuer, in accordance with the provisions of the limited liability company agreement of VIH Sponsor. F2 · ownership.direct: VIH Sponsor is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 05, 2022 Filed Jan 6, 2022 19:21 UTC | Dave Inc./DE DAVE · Entity 4017 | GrantPrivate Placement Warrants · Derivative | 5,100,214 | $1.50 Strike: $11.50 | $7,650,321.00 |
DisclosureSEC source: 0000899243-22-001268 · doc4.xml · derivative · entry 4 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,100,214 Underlying: Class A common stock · 5,100,214 shares Expires 2027-01-05 F2 · kind: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. 5,100,214 Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with the Issuer's initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing the later of (x) 30 days after the Closing and (y) 12 months from the closing of the Issuer's initial public offering, and expire five years after the Closing or earlier upon redemption or liquidation. F2 · derivative.exercise_date: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. 5,100,214 Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with the Issuer's initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing the later of (x) 30 days after the Closing and (y) 12 months from the closing of the Issuer's initial public offering, and expire five years after the Closing or earlier upon redemption or liquidation. F2 · derivative.expiration_date: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. 5,100,214 Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with the Issuer's initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing the later of (x) 30 days after the Closing and (y) 12 months from the closing of the Issuer's initial public offering, and expire five years after the Closing or earlier upon redemption or liquidation. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 05, 2022 Filed Jan 6, 2022 19:21 UTC | Dave Inc./DE DAVE · Entity 4017 | Exercise / conversionClass B common stock, par value $0.0001 · Derivative | 5,341,528 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001268 · doc4.xml · derivative · entry 3 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 5,341,528 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. F1 · derivative.exercise_price: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · kind: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · derivative.exercise_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · derivative.expiration_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 05, 2022 Filed Jan 6, 2022 19:21 UTC | Dave Inc./DE DAVE · Entity 4017 | Disposition to issuerClass B common stock, par value $0.0001 · Derivative | 942,622 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001268 · doc4.xml · derivative · entry 2 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,341,528 Underlying: Class A common stock · 942,622 shares Expires not disclosed F1 · derivative.exercise_price: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · kind: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · derivative.exercise_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · derivative.expiration_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| January 05, 2022 Filed Jan 6, 2022 19:21 UTC | Dave Inc./DE DAVE · Entity 4017 | Exercise / conversionClass A common stock, par value $0.0001 per share | 5,341,528 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-001268 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,341,528 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 · kind: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). F1 · price: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings III, Inc. or "VPCC") and Dave Inc. ("Dave"), among other things, (i) VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 942,622 shares of Class B common stock of VPCC and (ii) each of the remaining issued and outstanding shares of Class B common stock of VPCC converted into shares of Class A common stock of VPCC on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577). Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 20:26 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 14,115 | $10.14 | $143,126.10 |
DisclosureSEC source: 0000899243-21-049716 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,963,551 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.14-10.145, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 16, 2021 Filed Dec 21, 2021 19:57 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 5,540 | $11.19 | $61,992.60 |
DisclosureSEC source: 0000899243-21-049269 · doc4.xml · nonDerivative · entry 3 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,977,666 F3 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00-11.50, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F4 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 16, 2021 Filed Dec 21, 2021 19:57 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 63,600 | $10.27 | $653,172.00 |
DisclosureSEC source: 0000899243-21-049269 · doc4.xml · nonDerivative · entry 2 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,983,206 F2 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.25-10.36, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F4 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 16, 2021 Filed Dec 21, 2021 19:57 UTC | Bakkt, Inc. BKKT · Entity 5873 | SaleClass A common stock, par value $0.0001 per share | 44,856 | $8.98 | $402,806.88 |
DisclosureSEC source: 0000899243-21-049269 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,046,806 F1 · shares: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.90-9.18, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F4 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 12:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | OtherPrivate Placement Warrants · Derivative | 6,147,440 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-21-045356 · doc4.xml · derivative · entry 2 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,967,362 shares Expires not disclosed F1 · kind: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") exercised the Private Placement Warrants on a "cashless" basis pursuant to the warrant agreement governing such Private Placement Warrants. F2 · price: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering and became exercisable beginning 30 days after the closing (the "Closing") of the business combination between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), expiring five years after Closing. Each Private Placement Warrant was exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. F2 · derivative.exercise_date: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering and became exercisable beginning 30 days after the closing (the "Closing") of the business combination between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), expiring five years after Closing. Each Private Placement Warrant was exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. F2 · derivative.expiration_date: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering and became exercisable beginning 30 days after the closing (the "Closing") of the business combination between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), expiring five years after Closing. Each Private Placement Warrant was exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. F3 · ownership.direct: VIH Sponsor is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 12:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | OtherClass A common stock, par value $0.0001 per share | 3,967,362 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-045356 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,091,662 F1 · kind: VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") exercised the Private Placement Warrants on a "cashless" basis pursuant to the warrant agreement governing such Private Placement Warrants. F2 · price: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering and became exercisable beginning 30 days after the closing (the "Closing") of the business combination between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), expiring five years after Closing. Each Private Placement Warrant was exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. F3 · ownership.direct: VIH Sponsor is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 15, 2021 Filed Oct 15, 2021 19:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantPrivate Placement Warrants · Derivative | 6,147,440 | $1.00 Strike: $11.50 | $6,147,440.00 |
DisclosureSEC source: 0000899243-21-040390 · doc4.xml · derivative · entry 3 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,147,440 Underlying: Class A Common Stock · 6,147,440 shares Expires not disclosed F2 · kind: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing 30 days after the Closing and expire five years after the Closing or earlier upon redemption or liquidation. F2 · derivative.exercise_date: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing 30 days after the Closing and expire five years after the Closing or earlier upon redemption or liquidation. F2 · derivative.expiration_date: The Private Placement Warrants were acquired from the Issuer in connection with its initial public offering. Each Private Placement Warrant is exercisable for one share of Class A common stock at an exercise price of $11.50 per share, subject to certain adjustments. The Private Placement Warrants may be exercised commencing 30 days after the Closing and expire five years after the Closing or earlier upon redemption or liquidation. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 15, 2021 Filed Oct 15, 2021 19:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | Exercise / conversionClass B ordinary shares, par value $0.0001 · Derivative | 5,124,300 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-040390 · doc4.xml · derivative · entry 2 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A ordinary shares · 5,124,300 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. F1 · derivative.exercise_price: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. F1 · kind: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. F1 · derivative.exercise_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. F1 · derivative.expiration_date: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 15, 2021 Filed Oct 15, 2021 19:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | Exercise / conversionClass A common stock, par value $0.0001 per share | 5,124,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-040390 · doc4.xml · nonDerivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,124,300 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 · kind: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. F1 · price: In connection with the closing (the "Closing") of the business combination (the "Business Combination") between the Issuer (which was formerly known as VPC Impact Acquisition Holdings or "VIH") and Bakkt Holdings, LLC ("Bakkt"), among other things, (i) each of the then issued and outstanding Class B ordinary shares of VIH converted into Class A ordinary shares of VIH on a one-for-one basis as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248619), (ii) VIH migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication") and (iii) each of the issued and outstanding Class A ordinary shares of VIH converted into shares of the Issuer's (after the Domestication) Class A common stock. Read SEC document |
| April 18, 2021 Filed Apr 21, 2021 18:17 UTC | Dave Inc./DE VPCC · Entity 4017 | OtherClass B Common Stock · Derivative | 124,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-016613 · doc4.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,274,150 Underlying: Class A Common Stock · 124,600 shares Expires not disclosed F1 · derivative.exercise_price: On April 18, 2021, VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 124,600 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F1 · kind: On April 18, 2021, VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 124,600 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2 · price: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F2 · derivative.exercise_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| April 18, 2021 Filed Apr 21, 2021 17:55 UTC | VPC Impact Acquisition Holdings II VPCB · Entity 139939 | OtherClass B Ordinary Shares · Derivative | 74,134 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-016608 · doc4.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor II, LLC · CIK 0001842110 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,334,616 Underlying: Class A Ordinary Shares · 74,134 shares Expires not disclosed F1 · derivative.exercise_price: On April 18, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F1 · kind: On April 18, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F2 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor II, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor II, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor II, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| April 18, 2021 Filed Apr 29, 2021 14:26 UTC Amendment | VPC Impact Acquisition Holdings II VPCB · Entity 139939 | OtherClass B Ordinary Shares · Derivative | 0 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-017356 · doc4a.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor II, LLC · CIK 0001842110 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,334,617 Underlying: Class A Ordinary Shares · 0 shares Expires not disclosed F1 · derivative.exercise_price: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the underwriters' election to only partially exercise its over-allotment option. F2 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F2 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252298) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor II, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor II, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor II, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| April 18, 2021 Filed Apr 29, 2021 14:04 UTC Amendment | Dave Inc./DE VPCC · Entity 4017 | OtherClass B Common Stock · Derivative | 0 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-017352 · doc4a.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,284,150 Underlying: Class A Common Stock · 0 shares Expires not disclosed F1 · derivative.exercise_price: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 124,600 shares of Class B common stock of the Issuer in connection with the underwriters' election to only partially exercise its over-allotment option. F2 · price: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F2 · derivative.exercise_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| March 12, 2021 Filed Mar 12, 2021 19:45 UTC | Dave Inc./DE VPCC · Entity 4017 | OtherClass B Common Stock · Derivative | 124,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-011416 · doc4.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor III, LLC · CIK 0001842053 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,344,150 Underlying: Class B Common Stock · 124,600 shares Expires not disclosed F1 · derivative.exercise_price: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 124,600 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F1 · kind: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor III, LLC forfeited at no cost 124,600 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2 · derivative.exercise_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-252577) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor III, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor III, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor III, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| March 12, 2021 Filed Mar 12, 2021 19:41 UTC | VPC Impact Acquisition Holdings II VPCB · Entity 139939 | OtherClass B Ordinary Shares · Derivative | 74,133 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-011411 · doc4.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor II, LLC · CIK 0001842110 · Director · 10% owner · See Remarks Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,394,617 Underlying: Class B Ordinary Shares · 74,133 shares Expires not disclosed F1 · derivative.exercise_price: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F1 · kind: On March 12, 2021, VPC Impact Acquisition Holdings Sponsor II, LLC forfeited at no cost 74,133 Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-25298) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-25298) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor II, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor II, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor II, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 17:23 UTC | Bakkt, Inc. VIH · Entity 5873 | OtherClass B Common Stock · Derivative | 565,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-026685 · doc4.xml · derivative · entry 1 VPC Impact Acquisition Holdings Sponsor, LLC · CIK 0001825041 · Director · 10% owner Levy Richard N · CIK 0001413810 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,124,300 Underlying: Class A Common Stock · 565,700 shares Expires not disclosed F1 · derivative.exercise_price: On October 1, 2020, VPC Impact Acquisition Holdings Sponsor, LLC forfeited at no cost 565,700 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F1 · kind: On October 1, 2020, VPC Impact Acquisition Holdings Sponsor, LLC forfeited at no cost 565,700 shares of Class B common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2 · derivative.exercise_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 248619) (the "Registration Statement") and have no expiration date. F2 · derivative.expiration_date: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 248619) (the "Registration Statement") and have no expiration date. F3 · ownership.direct: VPC Impact Acquisition Holdings Sponsor, LLC is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VPC Impact Acquisition Holdings Sponsor, LLC. Mr. Levy disclaims any beneficial ownership of the securities held by VPC Impact Acquisition Holdings Sponsor, LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| July 21, 2017 Filed Jul 31, 2017 17:54 UTC | KATY INDUSTRIES INC KATY · Entity 174161 | OtherConvertible Debt · Derivative | Not disclosed | Not disclosed | $24,000,000.00 |
DisclosureSEC source: 0001193805-17-001354 · e616416_4-katy.xml · derivative · entry 1 Victory Park Capital Advisors, LLC · CIK 0001413834 · 10% owner · Possible member of 10% group VPC SBIC I, LP · CIK 0001556620 · 10% owner · Possible member of 10% group VPC SBIC GP, LLC · CIK 0001682724 · 10% owner · Possible member of 10% group Victory Park Management, LLC · CIK 0001682694 · 10% owner · Possible member of 10% group Jacob Capital, L.L.C. · CIK 0001413809 · 10% owner · Possible member of 10% group Levy Richard N · CIK 0001413810 · 10% owner · Possible member of 10% group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jansan Acquisition LLC Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F1 · kind: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F2 · reported_value: On July 21, 2017, Jansan Acquisition LLC ("Jansan"), the Issuer, Continental Commercial Products, LLC, Fort Wayne Plastics, Inc. and FTW Holdings, Inc. consummated the transactions contemplated by the Asset Purchase Agreement, dated as of May 14, 2017 (the "Purchase Agreement"). In accordance with the Purchase Agreement, Jansan acquired the Purchased Assets (as defined in the Purchase Agreement) with a credit bid in the amount of the indebtedness under the Issuer's second lien credit facility, including the convertible term loans (the "Term Loans") thereunder. As a result, the Term Loans were satisfied and, as such, the Reporting Persons no longer beneficially own any of the Common Stock previously issuable upon conversion of the Term Loans. F3 · reported_value: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F2 · price: On July 21, 2017, Jansan Acquisition LLC ("Jansan"), the Issuer, Continental Commercial Products, LLC, Fort Wayne Plastics, Inc. and FTW Holdings, Inc. consummated the transactions contemplated by the Asset Purchase Agreement, dated as of May 14, 2017 (the "Purchase Agreement"). In accordance with the Purchase Agreement, Jansan acquired the Purchased Assets (as defined in the Purchase Agreement) with a credit bid in the amount of the indebtedness under the Issuer's second lien credit facility, including the convertible term loans (the "Term Loans") thereunder. As a result, the Term Loans were satisfied and, as such, the Reporting Persons no longer beneficially own any of the Common Stock previously issuable upon conversion of the Term Loans. F1 · derivative.exercise_date: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F1 · derivative.expiration_date: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F1 · derivative.underlying_shares: The Term Loans (as defined below) were convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the Term Loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans were not convertible into common stock until the Issuer reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans were convertible for so long as such indebtedness remained outstanding. The Term Loans accrued "PIK" interest at the rate of 12.00% per annum. F2 · ownership.nature: On July 21, 2017, Jansan Acquisition LLC ("Jansan"), the Issuer, Continental Commercial Products, LLC, Fort Wayne Plastics, Inc. and FTW Holdings, Inc. consummated the transactions contemplated by the Asset Purchase Agreement, dated as of May 14, 2017 (the "Purchase Agreement"). In accordance with the Purchase Agreement, Jansan acquired the Purchased Assets (as defined in the Purchase Agreement) with a credit bid in the amount of the indebtedness under the Issuer's second lien credit facility, including the convertible term loans (the "Term Loans") thereunder. As a result, the Term Loans were satisfied and, as such, the Reporting Persons no longer beneficially own any of the Common Stock previously issuable upon conversion of the Term Loans. F3 · ownership.nature: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F4 · ownership.nature: This Form 4 is being filed by Victory Park Capital Advisors, LLC ("VPC Advisors") as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). VPC Advisors is the investment manager of the SBIC Fund. VPC SBIC GP, LLC (the "SBIC GP") is the general partner of the SBIC Fund. Jacob Capital L.L.C. ("Jacob Capital") is the sole member of the SBIC GP and the sole manager of VPC Advisors. Richard Levy ("Levy") is the sole member of Jacob Capital. Read SEC document |
| May 14, 2017 Filed May 16, 2017 21:52 UTC | KATY INDUSTRIES INC KATY · Entity 174161 | OtherConvertible Debt · Derivative | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-17-000896 · e616175_4-katy.xml · derivative · entry 1 Victory Park Capital Advisors, LLC · CIK 0001413834 · 10% owner · Possible member of 10% group VPC SBIC I, LP · CIK 0001556620 · 10% owner · Possible member of 10% group VPC SBIC GP, LLC · CIK 0001682724 · 10% owner · Possible member of 10% group Victory Park Management, LLC · CIK 0001682694 · 10% owner · Possible member of 10% group Jacob Capital, L.L.C. · CIK 0001413809 · 10% owner · Possible member of 10% group Levy Richard N · CIK 0001413810 · 10% owner · Possible member of 10% group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jansan Acquisition LLC Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: The Term Loans (as defined below) are convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the term loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans may not be converted into common stock until the Issuer has reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans will be convertible for so long as such indebtedness remains outstanding. The Term Loans bear "PIK" interest at the rate of 12.00% per annum. F1 · kind: The Term Loans (as defined below) are convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the term loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans may not be converted into common stock until the Issuer has reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans will be convertible for so long as such indebtedness remains outstanding. The Term Loans bear "PIK" interest at the rate of 12.00% per annum. F2 · shares: The reported transaction involved the contribution of an aggregate of $28,570,774 of convertible term loans (the "Term Loans") under the Issuer's second lien credit facility (the "Second Lien Credit Facility") outstanding as of the date of the reported transaction, including $21,000,000 principal amount of Term Loans held by VPC SBIC I, LP (the "SBIC Fund"), $3,000,000 principal amount of Term Loans held by an unaffiliated third party and accrued but unpaid interest under the Term Loans, to Jansan Acquisition, LLC ("Jansan"), a newly formed Delaware limited liability company, in exchange for equity interest in Jansan. F1 · derivative.exercise_date: The Term Loans (as defined below) are convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the term loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans may not be converted into common stock until the Issuer has reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans will be convertible for so long as such indebtedness remains outstanding. The Term Loans bear "PIK" interest at the rate of 12.00% per annum. F1 · derivative.expiration_date: The Term Loans (as defined below) are convertible into a number of shares of the Issuer's common stock equal to the amount of (x) the principal and accrued but unpaid interest under the term loans being converted, divided by (y) approximately $0.069732561 (as such amount is proportionately adjusted for stock splits, reverse stock splits, stock combinations, stock dividends and other distributions and recapitalizations affecting the capital stock of the Issuer); provided that the Term Loans may not be converted into common stock until the Issuer has reduced the par value of its common stock to an amount less than or equal to the conversion price. Subject to the proviso in the preceding sentence, the Term Loans will be convertible for so long as such indebtedness remains outstanding. The Term Loans bear "PIK" interest at the rate of 12.00% per annum. F2 · derivative.underlying_shares: The reported transaction involved the contribution of an aggregate of $28,570,774 of convertible term loans (the "Term Loans") under the Issuer's second lien credit facility (the "Second Lien Credit Facility") outstanding as of the date of the reported transaction, including $21,000,000 principal amount of Term Loans held by VPC SBIC I, LP (the "SBIC Fund"), $3,000,000 principal amount of Term Loans held by an unaffiliated third party and accrued but unpaid interest under the Term Loans, to Jansan Acquisition, LLC ("Jansan"), a newly formed Delaware limited liability company, in exchange for equity interest in Jansan. F3 · valueOwnedAfter: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F2 · ownership.nature: The reported transaction involved the contribution of an aggregate of $28,570,774 of convertible term loans (the "Term Loans") under the Issuer's second lien credit facility (the "Second Lien Credit Facility") outstanding as of the date of the reported transaction, including $21,000,000 principal amount of Term Loans held by VPC SBIC I, LP (the "SBIC Fund"), $3,000,000 principal amount of Term Loans held by an unaffiliated third party and accrued but unpaid interest under the Term Loans, to Jansan Acquisition, LLC ("Jansan"), a newly formed Delaware limited liability company, in exchange for equity interest in Jansan. F3 · ownership.nature: In accordance with Instructions 3(c) and 4(b)(iv) to Form 4, the entire face amount of the Term Loans held by Jansan is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F4 · ownership.nature: This Form 4 is being filed by Victory Park Capital Advisors, LLC ("VPC Advisors") as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). VPC Advisors is the investment manager of the SBIC Fund. VPC SBIC GP, LLC (the "SBIC GP") is the general partner of the SBIC Fund. Jacob Capital L.L.C. ("Jacob Capital") is the manager of the SBIC GP and the sole manager of VPC Advisors. Richard Levy ("Levy") is the sole member of Jacob Capital. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.