Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-024817
Date:2022-04-15
Issuer: BAKKT HOLDINGS, INC. (BKKT)
Original Submission Date:

Reporting Person:

LEWIS MICHAEL LEROY
C/O BAKKT HOLDINGS, INC.
10000 AVALON BOULEVARD, SUITE 1000 ALPHARETTA, GA 30009

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2022-04-15 F 33,744 d $4.64 320,414 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 in connection with the vesting and settlement of restricted stock units through the issuance of class a common stock of the issuer pursuant to the bakkt holdings, inc. 2021 omnibus employee incentive plan, the issuer withheld class a common stock that would otherwise have been issued to the reporting person to satisfy his tax withholding obligations. the number of shares withheld was determined based on the closing price per share of class a common stock on april 18, 2022.
f2 includes 287,491 shares of class a common stock subject to restricted stock units that remain subject to vesting.

Elevate your investments