Karen Alexander - Mar 18, 2024 Form 4/A Insider Report for Bakkt Holdings, Inc. (BKKT)

Signature
/s/ Marc D'Annunzio Attorney-in-Fact for Karen Alexander
Stock symbol
BKKT
Transactions as of
Mar 18, 2024
Transactions value $
-$2,678
Form type
4/A
Date filed
4/9/2024, 07:41 PM
Date Of Original Report
Mar 20, 2024
Previous filing
Feb 26, 2024
Next filing
Jun 3, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BKKT Class A Common Stock Award $0 +14.6K +4.23% $0.00 361K Mar 18, 2024 Direct F1, F2
transaction BKKT Class A Common Stock Award $0 +29.3K +8.11% $0.00 390K Mar 18, 2024 Direct F3, F4
transaction BKKT Class A Common Stock Award $0 +564K +144.43% $0.00 954K Mar 18, 2024 Direct F5, F6
transaction BKKT Class A Common Stock Award $0 +10.2K +1.07% $0.00 964K Mar 18, 2024 Direct F7, F8
transaction BKKT Class A Common Stock Tax liability -$2.68K -5.19K -0.54% $0.52 959K Apr 5, 2024 Direct F8, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on February 13, 2023 and the attainment of performance goals.
F2 Includes 224,118 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting.
F3 These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest in two equal annual installments on each anniversary of February 23, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date.
F4 Includes 253,415 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.
F5 These securities are RSUs. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The RSUs shall vest in two equal annual installments on the first two anniversaries of March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date.
F6 Includes 817,231 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.
F7 These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date.
F8 Includes 827,397 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.
F9 In connection with the vesting of PSUs on March 18, 2024, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on March 18, 2024.