Sean Roberts Collins - 06 Jun 2023 Form 4 Insider Report for Bakkt Holdings, Inc. (BKKT)

Role
Director
Signature
/s/ Marc D'Annunzio Attorney-in-Fact for Sean Roberts Collins
Issuer symbol
BKKT
Transactions as of
06 Jun 2023
Net transactions value
$0
Form type
4
Filing time
08 Jun 2023, 18:53:46 UTC
Previous filing
16 Jun 2022
Next filing
17 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BKKT Class A Common Stock Award $0 +275,000 +151% $0.000000 457,646 06 Jun 2023 Direct F1, F2
holding BKKT Class A Common Stock 582,323 06 Jun 2023 See Footnotes F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. 100% of the RSUs shall vest on the date of the Issuer's next annual meeting of stockholders, provided that the Reporting Person continues to provide service to the Issuer through such date.
F2 Includes 275,000 shares of Class A Common Stock subject to RSUs that remain subject to vesting.
F3 Represents 582,323 shares held by Goldfinch Co-Invest IC, LP ("Goldfinch IC"). The general partner of Goldfinch IC is Goldfinch Co-Invest I GP LLC (the "General Partner"). Mr. Collins is the managing partner of the General Partner, and exercises voting and investment control over these shares. Mr. Collins disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.