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| CIK | 1820302 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Bakkt Holdings, Inc.
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| August 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 26, 2025 Bakkt Holdings, Inc. |
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| August 25, 2025 |
PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 8, 2025 Bakkt Holdings, Inc. |
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| August 12, 2025 |
EX-10.2 Exhibit 10.2 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. ADVISOR AGREEMENT This Advisor Agreement (this “Agreement”) is made and entered into effective as of August 11, 2025 (the “Effective Date”) by and between Bakkt Holdings, Inc. (the “Company”), and Andre |
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| August 12, 2025 |
EX-10.1 Exhibit 10.1 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. RELEASE AGREEMENT This Release Agreement (“Agreement”) is made by and between Andrew Main (“Executive”) and Bakkt Holdings, Inc. (the “Company”) (together, with its parents, subsidiaries, divisions, aff |
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| August 11, 2025 |
erq225 Bakkt Reports Second Quarter 2025 Results - Raised $75 million to strengthen the balance sheet and further Bitcoin Treasury Strategy - Acquired ~30% of Tokyo-listed MarushoHotta Co. |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2025 Bakkt Holdings, Inc. |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2025 Bakkt Holdings, Inc. |
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| August 8, 2025 |
Amendment to the Company’s Amended and Restated Certificate of Incorporation, dated August 7, 2025. certofamend2 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF BAKKT HOLDINGS, INC. Bakkt Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that: 1. The name of the Corporation is Bakkt Holdings, Inc. The Corporation’s original Certificate of Incorporation was filed with the Secretary of State of th |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2025 (July 31, 2025) Bakkt Holdings, Inc. |
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| August 6, 2025 |
loirprjapan 1 Bakkt Holdings to Acquire Shares of Japanese Company Marusho Hotta; Company to be renamed bitcoin. |
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| July 30, 2025 |
Bakkt Announces Proposed Public Offering Exhibit 99.1 Bakkt Announces Proposed Public Offering ALPHARETTA, GA – July 28, 2025 – Bakkt Holdings, Inc. (“Bakkt” or the “Company”) (NYSE: BKKT) today announced its intention to offer shares of Class A common stock and/or pre-funded warrants in lieu thereof through an underwritten public offering. The Company expects to grant the underwriters a 30-day option to purchase up to an additional 15% |
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| July 30, 2025 |
EX-FILING FEES Exhibit 107 The prospectus supplement to which this Exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $74,999,925.36 (or up to $86,249,925.36 aggregate offering price if the underwriters’ overallotment option to purchase additional shares of Common Stock is exercised in full). |
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| July 30, 2025 |
Exhibit 4.1 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT BAKKT HOLDINGS, INC. Warrant Shares: [•] Date of Issuance: [•], 2025 (such date, the “Issue Date”) Warrant No.: [•] THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 30, 2025 (July 28, 2025) Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or Other Jurisdiction of Incorporation or |
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| July 30, 2025 |
Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-288361 PROSPECTUS SUPPLEMENT (To the Prospectus dated July 3, 2025) Bakkt Holdings, Inc. 6,753,627 Shares of Class A Common Stock Pre-Funded Warrants to Purchase 746,373 Shares of Class A Common Stock We are offering 6,753,627 shares of our Class A common stock, par value $0.0001 per share (the “Common Stock”) and, in lieu of |
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| July 30, 2025 |
Bakkt Announces Closing of $75 Million Public Offering EX-99.3 Exhibit 99.3 Bakkt Announces Closing of $75 Million Public Offering ALPHARETTA, GA – July 30, 2025 – Bakkt Holdings, Inc. (“Bakkt” or the “Company”) (NYSE: BKKT) today announced the closing of its previously announced underwritten public offering of 6,753,627 shares of Class A common stock and pre-funded warrants to purchase up to 746,373 shares of Class A common stock at a public offering |
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| July 30, 2025 |
Exhibit 1.1 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. 6,753,627 Shares 746,373 Pre-Funded Warrants to Purchase Shares BAKKT HOLDINGS, INC. Class A Common Stock, $0.0001 par value per share Pre-Funded Warrant to Purchase Shares of Class A Common Stock, $0.0001 par v |
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| July 30, 2025 |
Bakkt Announces Pricing of $75 Million Public Offering EX-99.2 Exhibit 99.2 Bakkt Announces Pricing of $75 Million Public Offering ALPHARETTA, GA – July 28, 2025 – Bakkt Holdings, Inc. (“Bakkt” or the “Company”) (NYSE: BKKT) today announced the pricing of its previously announced underwritten public offering of 6,753,627 shares of Class A common stock and pre-funded warrants to purchase up to 746,373 shares of Class A common stock at a public offering |
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| July 28, 2025 |
Subject to Completion, Dated July 28, 2025 424B5 Table of Contents The information in this prospectus supplement is not complete and may be changed. |
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| July 28, 2025 |
ex101 Exhibit 10.1 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT, MARKED BY BRACKETS AND ASTERISKS [***], HAVE BEEN OMITTED BECAUSE THE CONFIDENTIAL OMITTED INFORMATION IS BOTH (I) NOT MATERIAL AND (II) INFORMATION THAT THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE OR CONFIDENTIAL. EQUITY PURCHASE AGREEMENT BY AND AMONG PROJECT LABRADOR HOLDCO, LLC, AND BRIDGE2 SOLUTIONS, LLC, ASPIRE L |
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| July 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 23, 2025 Bakkt Holdings, Inc. |
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| July 28, 2025 |
ex991 Bakkt Announces Preliminary Second Quarter 2025 Financial Results and Definitive Agreement to Sell Loyalty Business ALPHARETTA, GA – July 28, 2025 – Bakkt Holdings, Inc. |
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| July 24, 2025 |
Bakkt Holdings, Inc. Up to 10,339,123 Shares of Class A Common Stock 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-288362 PROSPECTUS Bakkt Holdings, Inc. Up to 10,339,123 Shares of Class A Common Stock This prospectus relates to the offer and sale by YA II PN, Ltd. (the “Selling Stockholder”) of up to 10,339,123 shares of Class A common stock, par value $0.0001 per share (the “Class A Common Stock”) of Bakkt Holdings, Inc. (the “Comp |
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| July 16, 2025 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 7, 2025 |
As filed with the Securities and Exchange Commission on July 7, 2025 Table of Contents As filed with the Securities and Exchange Commission on July 7, 2025 Registration No. |
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| July 2, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| July 1, 2025 |
CORRESP July 1, 2025 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| June 27, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Bakkt Holdings, Inc. |
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| June 27, 2025 |
As filed with the Securities and Exchange Commission on June 26, 2025 S-3 Table of Contents As filed with the Securities and Exchange Commission on June 26, 2025 Registration No. |
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| June 27, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Bakkt Holdings, Inc. |
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| June 27, 2025 |
As filed with the Securities and Exchange Commission on June 27, 2025 As filed with the Securities and Exchange Commission on June 27, 2025 Registration No. |
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| June 27, 2025 |
Amendment No. 3 to Bakkt Holdings, Inc. 2021 Omnibus Incentive Plan. EX-4.5 Exhibit 4.5 Amendment No. 3 To 2021 Omnibus Incentive Plan This Amendment No. 3 dated April 10, 2025 (this “Amendment”) amends the 2021 Omnibus Incentive Plan, as amended (the “Plan”), of Bakkt Holdings, Inc. (the “Company”). Except as otherwise explicitly set forth herein, all provisions of the Plan shall remain in full force and effect. Capitalized terms used in the Amendment without defi |
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| June 26, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Bakkt Holdings, Inc. |
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| June 26, 2025 |
As filed with the Securities and Exchange Commission on June 26, 2025 S-3 Table of Contents As filed with the Securities and Exchange Commission on June 26, 2025 Registration No. |
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| June 20, 2025 |
Exhibit 10.3 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. GLOBAL GUARANTY AGREEMENT This Guaranty (as amended, amended and restated, supplemented or otherwise modified from time to time, this “Guaranty”) is made as of June 17, 2025, by Bakkt Opco Holdings, LLC, a Dela |
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| June 20, 2025 |
Exhibit 3.2 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF BAKKT HOLDINGS, INC. Bakkt Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that: 1. The name of the Corporation is Bakkt Holdings, Inc. The Corporation’s original Certificate of Incorporation was filed with the Secretary of State of the State of De |
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| June 20, 2025 |
Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of June 17, 2025, is made by and between YA II PN, LTD., a Cayman Islands exempt limited company (the “Investor”), and BAKKT HOLDINGS, INC., a company incorporated under the laws of the State of Delaware (the “Company”). The Investor and the Company may be referred to herein individually as a |
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| June 20, 2025 |
Purchase Agreement, dated as of June 17, 2025, between Bakkt Holdings, Inc. and YA II PN, LTD. Exhibit 10.1 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of June 17, 2025, is between BAKKT HOLDINGS, INC., a company incorporated under the laws of the State of Delaware, w |
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| June 20, 2025 |
Exhibit 10.2 Certain personally identifiable information has been omitted from this exhibit pursuant to item 601(a)(6) of Regulation S-K. [***] indicates that information has been redacted. NEITHER THIS DEBENTURE NOR THE SECURITIES INTO WHICH THIS DEBENTURE IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE. THESE SECURITIES HA |
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| June 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 18, 2025 (June 17, 2025) Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or Other Jurisdiction of Incorporation or |
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| June 20, 2025 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF BAKKT HOLDINGS, INC. Bakkt Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that: 1. The name of the Corporation is Bakkt Holdings, Inc. The Corporation’s original Certificate of Incorporation was filed with the Secretary of State of the State of De |
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| June 20, 2025 |
Exhibit 10.5 FIRST AMENDMENT TO REVOLVING CREDIT AGREEMENT This First Amendment to the Revolving Credit Agreement (this “Amendment”) is made as of June 17, 2025 (the “Effective Date”), by and among Bakkt Holdings, Inc., a Delaware corporation (“Holdings”), Bakkt Opco Holdings, LLC, a Delaware limited liability company (the “Borrower”), and Intercontinental Exchange Holdings, Inc., a Delaware corpo |
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| June 13, 2025 |
June 13, 2025 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Bakkt Holdings, Inc. (the Company) and, under the date of March 19, 2025, we reported on the consolidated financial statements of the Company as of and for the year ended December 31, 2024 and the effectiveness of internal control over financial reporting as of |
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| June 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 9, 2025 Bakkt Holdings, Inc. |
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| June 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ D |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| June 10, 2025 |
Bakkt Announces Updated Investment Policy to Include Bitcoin and Other Digital Assets EX-99.2 Exhibit 99.2 Bakkt Announces Updated Investment Policy to Include Bitcoin and Other Digital Assets ALPHARETTA, GA – June 10, 2025 – Bakkt Holdings, Inc. (“Bakkt” or the “Company”) (NYSE: BKKT) today announced that its Board of Directors has formally approved an updated corporate investment policy, enabling the Company to allocate capital into Bitcoin and other digital assets as part of its |
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| June 10, 2025 |
RISK FACTORS RELATED TO THE UPDATE OF OUR INVESTMENT POLICY EX-99.1 Exhibit 99.1 RISK FACTORS RELATED TO THE UPDATE OF OUR INVESTMENT POLICY Unless the context otherwise requires, all references to “Bakkt,” “we,” “us,” “our,” or the “Company” in risk factors refer to Bakkt Holdings, Inc. and its subsidiaries. The Company has approved an updated corporate investment policy (the “Investment Policy”), enabling the Company to allocate capital into Bitcoin and |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 10, 2025 Bakkt Holdings, Inc. |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 10, 2025 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or Other Jurisdiction of Incorporation or Organization) ( |
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| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| May 12, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 12, 2025 Bakkt Holdings, Inc. |
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| May 12, 2025 |
Bakkt Reports First Quarter 2025 Results -Entered into cooperation agreement with Distributed Technologies Research (DTR) in Q1 2025 for access to AI and stablecoin payment infrastructure -Commercial agreement with DTR, expected to be completed by Q3 2025, expected to bring new products for customers, including merchant checkout widget and white-label AI-powered plug-in for global money movement - Strengthened the leadership team with the addition of Ankit Khemka, Chief Product Officer, and Phillip Lord, President, Bakkt International -Net income of $16. |
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| April 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| April 28, 2025 |
bakktholdingsincnotice Your Vote Counts! *Please check the meeting materials for any special requirements for meeting attendance. |
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| April 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 21, 2025 Bakkt Holdings, Inc. |
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| April 18, 2025 |
Form of Performance Stock Unit Agreement by and between the Company. and Akshay Naheta. Exhibit 4.4 BAKKT HOLDINGS, INC. INDUCEMENT PERFORMANCE UNIT AGREEMENT NOTICE OF INDUCEMENT PERFORMANCE UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the “Plan”) will have the same meanings in this Inducement Performance Unit Agreement which includes the Notice of Inducement Performance Unit Grant (the “Notice of Gra |
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| April 18, 2025 |
As filed with the Securities and Exchange Commission on April 18, 2025 As filed with the Securities and Exchange Commission on April 18, 2025 Registration No. |
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| April 18, 2025 |
Form of Restricted Stock Unit Agreement by and between the Company and Akshay Naheta. Exhibit 4.5 BAKKT HOLDINGS, INC. INDUCEMENT RESTRICTED STOCK UNIT AGREEMENT NOTICE OF INDUCEMENT RESTRICTED STOCK UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the “Plan”) will have the same meanings in this Inducement Restricted Stock Unit Agreement which includes the Notice of Inducement Restricted Stock Unit Grant |
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| April 18, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Bakkt Holdings, Inc. |
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| April 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 27, 2025 Bakkt Holdings, Inc. |
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| March 20, 2025 |
Press Release, dated March 19, 2025 Bakkt Reports Fourth Quarter and Full Year 2024 Results - Announces Akshay Naheta to serve as co-CEO of Bakkt and strategic partnership with Distributed Technologies Research (“DTR”), a cutting-edge stablecoin payments platform - Signed definitive agreement to divest Trust business to Intercontinental Exchange (“ICE”); exploring strategic opportunities for Loyalty - Fourth quarter trading volumes up 465% sequentially and 778% year-over-year - Net loss improved year-over-year 48. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 19, 2025 Bakkt Holdings, Inc. |
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| March 20, 2025 |
COOPERATION AGREEMENT This COOPERATION AGREEMENT (this “Agreement”) is made and entered into as of March 19, 2025, by and among Bakkt Holdings, Inc. |
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| March 20, 2025 |
INSIDER TRADING POLICY BAKKT HOLDINGS, INC. INSIDER TRADING POLICY Bakkt Confidential Page 2 of 14 Table of Contents A. POLICY OVERVIEW ......................................................................................................................................... 3 B. POLICY STATEMENT ........................................................................................................ |
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| March 20, 2025 |
Exhibit 10.3 EMPLOYMENT AGREEMENT AMENDMENT THIS EMPLOYMENT AGREEMENT AMENDMENT (this “Amendment”) is entered into by and between Bakkt Holdings, Inc. (the “Company”) and Andy Main (“Executive”) (jointly referred to as the “Parties” or individually referred to as a “Party as of March 19, 2025. R E C I T A L S WHEREAS, Executive is engaged as the Company’s Chief Executive Officer pursuant to the Em |
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| March 20, 2025 |
EMPLOYMENT AGREEMENT AMENDMENT THIS EMPLOYMENT AGREEMENT AMENDMENT (this “Amendment”) is entered into by and between Bakkt Holdings, Inc. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 19, 2025 Bakkt Holdings, Inc. |
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| March 20, 2025 |
Employment Agreement, dated March 19, 2025, by and between Bakkt Holdings, Inc. and Akshay Naheta a102 Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is entered into as of March 19, 2025 (the “Effective Date”) by and between Bakkt Holdings, Inc. (the “Company”) and Akshay Naheta (“Executive”) (jointly referred to as the “Parties” or individually referred to as a “Party”). R E C I T A L S WHEREAS, the Company desires to engage Executive as its co-Chief |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 19, 2025 Bakkt Holdings, Inc. |
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| March 20, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 Bakkt Holdings, Inc. |
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| March 20, 2025 |
Bakkt Reports Fourth Quarter and Full Year 2024 Results - Announces Akshay Naheta to serve as co-CEO of Bakkt and strategic partnership with Distributed Technologies Research (“DTR”), a cutting-edge stablecoin payments platform - Signed definitive agreement to divest Trust business to Intercontinental Exchange (“ICE”); exploring strategic opportunities for Loyalty - Fourth quarter trading volumes up 465% sequentially and 778% year-over-year - Net loss improved year-over-year 48. |
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| March 20, 2025 |
EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is entered into as of March 19, 2025 (the “Effective Date”) by and between Bakkt Holdings, Inc. |
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| March 20, 2025 |
a101projectdelta-coopera Exhibit 10.1 COOPERATION AGREEMENT This COOPERATION AGREEMENT (this “Agreement”) is made and entered into as of March 19, 2025, by and among Bakkt Holdings, Inc., a Delaware corporation (“Bakkt”), Distributed Technologies Research Global Ltd (“DTR), a private limited company incorporated in Cyprus, and Akshay Naheta, an individual (the “Shareholder”). Each of Bakkt, DTR an |
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| March 20, 2025 |
List of subsidiaries of the registrant. Subsidiaries of Bakkt Holdings, Inc. Name of Subsidiary Jurisdiction Bakkt Opco Holdings, LLC Delaware Bakkt Trust Company LLC New York Bakkt Crypto Solutions, LLC Virginia BakktX ECN, LLC Georgia Bakkt, LLC Delaware Bakkt Trade, LLC Virginia Bakkt Clearing, LLC Illinois Bridge2Solutions, LLC Delaware B2S Canada, LLC Florida Bakkt Crypto Australia Pty Ltd Australia Bridge2 Solutions Canada Ltd. On |
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| March 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 19, 2025 Bakkt Holdings, Inc. |
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| March 19, 2025 |
Bakkt Reports Fourth Quarter and Full Year 2024 Results -Signed definitive agreement to divest Trust business to Intercontinental Exchange (“ICE”); exploring strategic opportunities for Loyalty -Fourth quarter trading volumes up 465% sequentially and 778% year-over-year -Net loss improved year-over-year 48. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 17, 2025 Bakkt Holdings, Inc. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on |
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| November 14, 2024 |
Bakkt Reports Third Quarter 2024 Results •BakktX successfully tested, institutional client rollout to begin Q4’24 •Net loss improved 87. |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| November 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2024 Bakkt Holdings, Inc. |
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| November 14, 2024 |
Outside Director Compensation Program BAKKT HOLDINGS, INC. OUTSIDE DIRECTOR COMPENSATION PROGRAM Table of Contents Page(s) 1 Effective Date 1 2 Cash Compensation 1 2.1 Board Member Annual Cash Retainer 1 2.2 Additional Annual Cash Retainers 1 2.3 Payment Timing and Proration 2 2.4 Form of Payment 2 3 Equity Compensation 2 3.1 No Discretion 2 3.2 Annual Award 2 3.3 Additional Terms of Annual Awards 2 4 Change in Control 3 5 Annual Comp |
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| November 14, 2024 |
BKKT / Bakkt Holdings, Inc. / HIGHBRIDGE CAPITAL MANAGEMENT LLC Passive Investment SC 13G 1 p24-3248sc13g.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Bakkt Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 05759B305 (CUSIP Number) September 30, 2024 (Date of event which requires filing of this statement) Check the appropriate b |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2024 Bakkt Holdings, Inc. |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| August 14, 2024 |
Bakkt Reports Second Quarter 2024 Results $509.9 million total revenues including gross crypto revenues and net loyalty revenues $36.8 million operating expenses excluding crypto costs, execution, clearing and brokerage fees, down 43.1% year-over-year, 24.6% sequentially ALPHARETTA, GA – August 14, 2024 – Bakkt Holdings, Inc. (“Bakkt” or the “Company”) (NYSE: BKKT) announced its financial and oper |
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| August 14, 2024 |
Revolving Credit Agreement, dated as of August 12, 2024, by and among the Company, EXUCUTION VERSION REVOLVING CREDIT AGREEMENT dated as of August 12, 2024, among BAKKT HOLDINGS, INC. |
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| July 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 16, 2024 Bakkt Holdings, Inc. |
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| July 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 8, 2024 Bakkt Holdings, Inc. |
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| July 9, 2024 |
Certificate of Incorporation of the Company, as currently in effect EX-4.1 Exhibit 4.1 CERTIFICATE OF INCORPORATION OF BAKKT HOLDINGS, INC. The undersigned, for the purposes of incorporating and organizing a corporation under the General Corporation Law of the State of Delaware, does execute this Certificate of Incorporation and does hereby certify as follows: ARTICLE I Section 1.1 Name. The name of the Corporation is Bakkt Holdings, Inc. (the “Corporation”). ARTI |
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| July 9, 2024 |
As filed with the Securities and Exchange Commission on July 8, 2024 S-8 As filed with the Securities and Exchange Commission on July 8, 2024 Registration No. |
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| July 9, 2024 |
Amendment No. 2 to Bakkt Holdings, Inc. 2021 Omnibus Incentive Plan EX-4.6 Exhibit 4.6 AMENDMENT NO. 2 TO BAKKT HOLDINGS, INC. 2021 OMNIBUS INCENTIVE PLAN This Amendment No. 2 dated May 31, 2024 (this “Amendment”) amends the 2021 Omnibus Incentive Plan, as amended (the “Plan”), of Bakkt Holdings, Inc. (the “Company”). Except as otherwise explicitly set forth herein, all provisions of the Plan shall remain in full force and effect. Capitalized terms used in the Ame |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) BAKKT HOLDINGS, INC. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05759B107 (CUSIP Number) Andrew J. Surdykowski Intercontinental Exchange, Inc. 5660 New Northside Drive Atlanta, GA 30328 770-857-4700 With a Copy to: Rory B. O’Hall |
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| July 9, 2024 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Bakkt Holdings, Inc. |
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| June 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 3, 2024 Bakkt Holdings, Inc. |
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| June 7, 2024 |
Letter from Ernst & Young LLP to the SEC dated June 7, 2024 June 7, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read Item 4.01 of Form 8-K dated June 7, 2024, of Bakkt Holdings, Inc. and are in agreement with the statements contained in the second paragraph as it relates to the date of notification of our dismissal and the third and fourth paragraphs therein. We have no basis to agree or disagree w |
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| June 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 31, 2024 Bakkt Holdings, Inc. |
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| May 15, 2024 |
Bakkt Reports First Quarter 2024 Results Exhibit 99.1 Bakkt Reports First Quarter 2024 Results - $854.6 million total revenues including gross crypto revenues and net loyalty revenues - Strong client crypto trading activity with notional traded volume up 324% quarter-over-quarter - $48.8 million operating expenses excluding crypto costs, execution, clearing and brokerage fees, down 16% year-over-year - Updated full year 2024 outlook to r |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 15, 2024 Bakkt Holdings, Inc. |
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| May 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 29, 2024 Bakkt Holdings, Inc. |
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| April 29, 2024 |
Class 2 Warrant issued by the Issuer on April 25, 2024. EX-99.20 3 ss3319225ex9920.htm CLASS 2 WARRANT COMMON STOCK PURCHASE WARRANT (Class 2) BAKKT HOLDINGS, INC. Warrant Shares: 4,386,008 Original Issuance Date: April 25, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 2) (the “Warrant”) certifies that, for value received, Intercontinental Exchange Holdings, Inc. or its assig |
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| April 29, 2024 |
BKKT / Bakkt Holdings, Inc. / Intercontinental Exchange, Inc. - AMENDMENT NO. 4 Activist Investment SC 13D/A 1 ss3319225sc13da.htm AMENDMENT NO. 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) BAKKT HOLDINGS, INC. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05759B107 (CUSIP Number) Andrew J. Surdykowski Intercontinental Exchange, Inc. 5660 New Northside Drive Atlanta, GA 30 |
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| April 29, 2024 |
Class 1 Warrant issued by the Issuer on April 25, 2024. EX-99.19 2 ss3319225ex9919.htm CLASS 1 WARRANT COMMON STOCK PURCHASE WARRANT (Class 1) BAKKT HOLDINGS, INC. Warrant Shares: 4,386,008 Original Issuance Date: April 25, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 1) (the “Warrant”) certifies that, for value received, Intercontinental Exchange Holdings, Inc., or its assi |
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| April 29, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF BAKKT HOLDINGS, INC. Bakkt Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that: 1.The name of the Corporation is Bakkt Holdings, Inc. The Corporation’s original Certificate of Incorporation was filed with the Secretary of State of the State of Del |
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| April 29, 2024 |
Exhibit 4.1 FIRST AMENDMENT TO THIRD AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT This First Amendment (this “Amendment”) is dated as of April 26, 2024, by and between Bakkt Holdings, Inc., in its capacity as managing member of the Company (the “Managing Member”), and Intercontinental Exchange Holdings, Inc., who represents the Required Interest, and modifies that certain Third Amended |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 26, 2024 Bakkt Holdings, Inc. |
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| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 23, 2024 Bakkt Holdings, Inc. |
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| April 25, 2024 |
Bakkt Announces Reverse Stock Split 1-for-25 Reverse Stock Split for Common Stock Expected to Begin Trading on Reverse Split-Adjusted Basis on April 29, 2024 ALPHARETTA, Ga. |
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| April 19, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| April 19, 2024 | ||
| April 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| March 25, 2024 |
List of subsidiaries of the registrant. Exhibit 21.1 Subsidiaries of Bakkt Holdings, Inc. Name of Subsidiary Jurisdiction Bakkt Opco Holdings, LLC Delaware Bakkt Trust Company LLC New York Bakkt Marketplace, LLC Virginia Bakkt, LLC Delaware Bakkt Trade, LLC Virginia Bakkt Clearing, LLC Illinois Bridge2Solutions, LLC Delaware B2S Direct, LLC Florida B2S Canada, LLC Florida Bakkt Crypto Australia Pty Ltd Australia Bridge2 Solutions Canada |
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| March 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 25, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2024 Bakkt Holdings, Inc. |
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| March 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 Bakkt Holdings, Inc. |
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| March 25, 2024 |
Amendment No.1 to Bakkt Holdings, Inc. 2021 Omnibus Incentive Plan Exhibit 10.11 AMENDMENT NO.1 TO BAKKT HOLDINGS, INC. 2021 OMNIBUS INCENTIVE PLAN This Amendment No. 1 dated April 18, 2023 (this “Amendment”) amends the 2021 Omnibus Incentive Plan of Bakkt Holdings, Inc. (the “Company”, and such plan, the “Plan”). Except as otherwise explicitly set forth herein, all provisions of the Plan shall remain in full force and effect. Capitalized terms used in the Amendm |
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| March 25, 2024 |
Exhibit 97 BAKKT HOLDINGS, INC. ["the Company"] CLAWBACK POLICY 1.Introduction The Board of Directors of the Company (the "Board") believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability. The Board has therefore adopted this policy which provides for the recoupment of certain executive compensation |
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| March 25, 2024 |
Exhibit 99.1 Bakkt Reports Fourth Quarter and Full Year 2023 Results Quarterly gross crypto services revenues of $199.4 million and associated crypto costs and execution, clearing and brokerage fees of $197.8 million Quarterly total revenues of $214.5 million include gross crypto revenues and net loyalty revenues; full year total revenues of $780.1 million Quarterly total operating expenses of $29 |
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| March 19, 2024 |
Exhibit 99.1 Bakkt Announces Leadership Transition Current board member Andy Main to become CEO; Gavin Michael stepping down Gavin Michael to serve in an advisory role through March 2025 Company reschedules fourth quarter and full year 2023 financial results conference call to Monday, March 25, 2024. Bakkt Holdings, Inc. (NYSE: BKKT) today announced that Andy Main has been appointed President and |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 18, 2024 Bakkt Holdings, Inc. |
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| March 19, 2024 |
Release Agreement, dated March 18, 2024, by and between Bakkt Holdings, Inc. and Gavin Michael Exhibit 10.2 RELEASE AGREEMENT This Release Agreement (“Agreement”) is made by and between Gavin Michael (“Executive”) and Bakkt Holdings, Inc. (the “Company”) (together, with its parents, subsidiaries, divisions, affiliates, related business entities, successors, and assigns, and any of the respective affiliates of the Company, including, without limitation, Bakkt Opco Holdings, LLC (formerly Bak |
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| March 19, 2024 |
Employment Agreement, dated March 18, 2024, by and between Bakkt Holdings, Inc. and Andrew Main Exhibit 10.1 Execution Version EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is entered into as of March 18, 2024, to be effective as of March 26, 2024 (the “Effective Date”) by and between Bakkt Holdings, Inc. (the “Company”) and Andrew A. Main (“Executive”) (jointly referred to as the “Parties” or individually referred to as a “Party”). R E C I T A L S WHEREAS, the |
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| March 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 13, 2024 Bakkt Holdings, Inc. |
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| March 14, 2024 |
Exhibit 99.1 Bakkt Notified by NYSE of Non-Compliance with NYSE Trading Share Price Listing Rule Intends to cure the deficiency and return to compliance with NYSE standard ALPHARETTA, GA – March 13, 2024 – Bakkt Holdings, Inc. (NYSE: BKKT) announced today that the New York Stock Exchange (the “NYSE”) notified the Company (the “Notice”) that the Company is not in compliance with Section 802.01C of |
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| March 4, 2024 |
Class 2 Warrant issued by the Issuer on March 4, 2024. EX-99.18 5 ss3098627ex9918.htm COMMON STOCK PURCHASE WARRANT (CLASS 2) COMMON STOCK PURCHASE WARRANT (Class 2) BAKKT HOLDINGS, INC. Warrant Shares: 1,381,004 Original Issuance Date: March 4, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 2) (the “Warrant”) certifies that, for value received, Intercontinental Exchange Hold |
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| March 4, 2024 |
Exhibit 4.2 FORM OF COMMON STOCK PURCHASE WARRANT (Class 2) BAKKT HOLDINGS, INC. Warrant Shares: Original Issuance Date: March 4, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 2) (the “Warrant”) certifies that, for value received, [INVESTOR] or its assigns (the “Holder”) is entitled, upon the terms and subject to the lim |
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| March 4, 2024 |
Exhibit 99.16 VOTING SUPPORT AGREEMENT This Voting Support Agreement (this “Agreement”), dated as of February 29, 2024, is entered into by and between Bakkt Holdings, Inc., a Delaware corporation (the “Company”), and Intercontinental Exchange Holdings, Inc. (the “Supporting Stockholder”). Capitalized terms used but not otherwise defined in this Agreement shall have the meanings ascribed to them in |
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| March 4, 2024 |
BKKT / Bakkt Holdings, Inc. / Intercontinental Exchange, Inc. - AMENDMENT NO. 3 Activist Investment SC 13D/A 1 ss3098627sc13da.htm AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) BAKKT HOLDINGS, INC. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05759B107 (CUSIP Number) Andrew J. Surdykowski Intercontinental Exchange, Inc. 5660 New Northside Drive Atlanta, GA 30 |
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| March 4, 2024 |
Exhibit 10.2 FORM OF SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 29, 2024, between Bakkt Holdings, Inc., a Delaware corporation (the “Company”), and Intercontinental Exchange Holdings, Inc. (including its successors and assigns, the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to |
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| March 4, 2024 |
Form of Voting Support Agreement, dated as of February 29, 2024, by and between the Company and ICE Exhibit 10.3 FORM OF VOTING SUPPORT AGREEMENT This Voting Support Agreement (this “Agreement”), dated as of February 29, 2024, is entered into by and between Bakkt Holdings, Inc., a Delaware corporation (the “Company”), and Intercontinental Exchange Holdings, Inc. (the “Supporting Stockholder”). Capitalized terms used but not otherwise defined in this Agreement shall have the meanings ascribed to |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 29, 2024 Bakkt Holdings, Inc. |
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| March 4, 2024 |
Exhibit 4.3 FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT BAKKT HOLDINGS, INC. Warrant Shares: Issue Date: March 4, 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [INVESTOR] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date he |
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| March 4, 2024 |
Securities Purchase Agreement. Exhibit 99.15 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 29, 2024, between Bakkt Holdings, Inc., a Delaware corporation (the “Company”), and Intercontinental Exchange Holdings, Inc. (including its successors and assigns, the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to an effe |
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| March 4, 2024 |
Class 1 Warrant issued by the Issuer on March 4, 2024. EX-99.17 4 ss3098627ex9917.htm COMMON STOCK PURCHASE WARRANT CLASS 1 COMMON STOCK PURCHASE WARRANT (Class 1) BAKKT HOLDINGS, INC. Warrant Shares: 1,381,004 Original Issuance Date: March 4, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 1) (the “Warrant”) certifies that, for value received, Intercontinental Exchange Holdin |
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| March 4, 2024 |
Exhibit 4.1 FORM OF COMMON STOCK PURCHASE WARRANT (Class 1) BAKKT HOLDINGS, INC. Warrant Shares: Original Issuance Date: March 4, 2024 Initial Exercise Date: September 4, 2024 Termination Date: September 4, 2029 THIS COMMON STOCK PURCHASE WARRANT (Class 1) (the “Warrant”) certifies that, for value received, [INVESTOR] or its assigns (the “Holder”) is entitled, upon the terms and subject to the lim |
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| March 4, 2024 |
Exhibit 10.1 FORM OF SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 29, 2024, among Bakkt Holdings, Inc., a Delaware corporation (the “Company”), and each of the purchasers identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms |
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| March 1, 2024 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-271361 PROSPECTUS SUPPLEMENT (to Prospectus dated February 14, 2024) 11,534,025 Shares of Class A Common Stock Class 1 Warrants to Purchase up to 5,767,012 Shares of Class A Common Stock Class 2 Warrants to Purchase up to 5,767,012 Shares of Class A Common Stock Class A Common Stock Underlying the Class 1 Warrants and Class 2 |
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| March 1, 2024 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-271361 PROSPECTUS SUPPLEMENT (to Prospectus dated February 14, 2024) 30,000,000 Shares of Class A Common Stock Pre-Funded Warrants to Purchase up to 16,136,102 Shares of Class A Common Stock Class 1 Warrants to Purchase up to 23,068,051 Shares of Class A Common Stock Class 2 Warrants to Purchase up to 23,068,051 Shares of Class A Common Stock C |
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| February 29, 2024 |
Exhibit 99.1 Bakkt Announces Preliminary 2023 Financial Results; Preliminary Estimates Within Previously Provided Guidance ALPHARETTA, GA – February 29, 2024 – Bakkt Holdings, Inc. (“Bakkt”) (NYSE: BKKT) announced certain preliminary financial results for the fourth quarter and full year ended December 31, 2023. Preliminary financial results for fourth quarter 2023 •Total revenues for the fourth q |
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| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 29, 2024 Bakkt Holdings, Inc. |
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| February 14, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| February 14, 2024 |
exhibit991apexcryptofsv2 Apex Crypto LLC Financial Statements As of and for the three months ended March 31, 2023 Exhibit 99. |
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| February 14, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| February 14, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| February 14, 2024 |
February 14, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 14, 2024 |
February 14, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 14, 2024 |
February 14, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 S-3/A Table of Contents As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. 3) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. |
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| February 14, 2024 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A Amendment No. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 Table of Contents As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
February 14, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 S-3/A Table of Contents As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 Table of Contents As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Introduction: The unaudited pro forma condensed combined financial information is prepared in accordance with Article 11 of Regulation S-X. The unaudited pro forma condensed combined financial information presents the pro forma effects of the acquisition of Apex Crypto LLC (“Apex”) by Bakkt Holdings, Inc. (the “Company”) on |
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| February 13, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| February 13, 2024 |
BKKT / Bakkt Holdings, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Bakkt Holdings, Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 05759B107 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 8, 2024 |
February 8, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 8, 2024 |
Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 February 8, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N.E. Washington, D.C. 20549 Attention: Sandra Hunter Berkheimer and David Lin Re: Bakkt Holdings, Inc. Registration Statement on Form S-3 File No. 333-271361 Ladies and Gentlemen: R |
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| February 8, 2024 |
Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 February 8, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N.E. Washington, D.C. 20549 Attention: Sandra Hunter Berkheimer and David Lin Re: Bakkt Holdings, Inc. Registration Statement on Form S-1 on Form S-3 File No. 333-261034 Ladies and |
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| February 8, 2024 |
Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 February 8, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N.E. Washington, D.C. 20549 Attention: Sandra Hunter Berkheimer and David Lin Re: Bakkt Holdings, Inc. Registration Statement on Form S-3 File No. 333-271438 Ladies and Gentlemen: R |
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| February 8, 2024 |
Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 Bakkt Holdings, Inc. 10000 Avalon Boulevard, Suite 1000 Alpharetta, Georgia 30009 February 8, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N.E. Washington, D.C. 20549 Attention: Sandra Hunter Berkheimer and David Lin Re: Bakkt Holdings, Inc. Registration Statement on Form S-3 File No. 333-271362 Ladies and Gentlemen: R |
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| February 8, 2024 |
February 8, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. 2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. |
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| February 7, 2024 |
As filed with the Securities and Exchange Commission on February 7, 2024 POS AM Table of Contents As filed with the Securities and Exchange Commission on February 7, 2024 Registration No. |
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| February 7, 2024 |
February 7, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 7, 2024 |
As filed with the Securities and Exchange Commission on February 7, 2024 Table of Contents As filed with the Securities and Exchange Commission on February 7, 2024 Registration No. |
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| February 7, 2024 |
February 7, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| February 7, 2024 |
As filed with the Securities and Exchange Commission on February 7, 2024 Table of Contents As filed with the Securities and Exchange Commission on February 7, 2024 Registration No. |
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| February 7, 2024 |
As filed with the Securities and Exchange Commission on February 7, 2024 Table of Contents As filed with the Securities and Exchange Commission on February 7, 2024 Registration No. |
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| February 7, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) BAKKT HOLDINGS, INC. |
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| February 7, 2024 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) BAKKT HOLDINGS, INC. |
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| February 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. |
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| February 1, 2024 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| January 19, 2024 |
Table of Contents Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 O: 650. |
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| December 4, 2023 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Bakkt Holdings, Inc. |
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| December 4, 2023 |
As filed with the Securities and Exchange Commission on December 1, 2023 S-8 As filed with the Securities and Exchange Commission on December 1, 2023 Registration No. |
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| November 21, 2023 |
November 21, 2023 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Crypto Assets 100 F Street, N. |
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| November 14, 2023 |
Exhibit 99.1 Bakkt Reports Third Quarter 2023 Results Gross crypto services revenues of $191.8 million and associated crypto costs and execution, clearing and brokerage fees of $190.1 million Total revenues of $204.8 million include gross crypto revenues and net loyalty revenues Total operating expenses of $257.6 million includes crypto costs and execution, clearing and brokerage fees and goodwill |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2023 Bakkt Holdings, Inc. |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| August 10, 2023 |
Exhibit 4.2 AMENDMENT AGREEMENT This Amendment Agreement (this “Amendment”) regarding that certain Stockholders’ Agreement, dated as of November 2, 2022 (the “Stockholders’ Agreement”), by and among Bakkt Holdings, Inc., a Delaware corporation (the “Company”), Apex Fintech Solutions Inc., a Delaware corporation (“Investor”), and PEAK6 Investments LLC, a Delaware limited liability company (“PEAK6 I |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 10, 2023 Bakkt Holdings, Inc. |
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| August 10, 2023 |
Exhibit 99.1 Bakkt Reports Second Quarter 2023 Results Second quarter 2023 results include Apex Crypto, which was acquired on April 1, 2023 and rebranded Bakkt Crypto Solutions In accordance with GAAP, crypto services revenues and crypto costs and execution, clearing and brokerage fees are being presented on a gross basis Gross crypto services revenues of $335.3 million, which are partially offset |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 6, 2023 Bakkt Holdings, Inc. |
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| May 11, 2023 |
Exhibit 99.1 Bakkt Reports First Quarter 2023 Results Quarterly net revenues of $13.0 million, increased 4% year-over-year Operating expenses of $58.4 million, declined 4% year-over-year; includes $4.3 million of restructuring expenses Acquisition of Apex Crypto closed on April 1, 2023, bringing ~5.8 million crypto-enabled accounts to the Bakkt platform Outlook for Apex Crypto includes full year 2 |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| May 11, 2023 |
Exhibit 10.2 BAKKT HOLDINGS, INC. 2021 OMNIBUS EMPLOYEE INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT NOTICE OF RESTRICTED STOCK UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the “Plan”) will have the same meanings in this Restricted Stock Unit Agreement which includes the Notice of Restricted Stock Unit Grant (the |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 11, 2023 Bakkt Holdings, Inc. |
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| May 11, 2023 |
Form of Performance Unit Agreement under the Bakkt Holdings, Inc. 2021 Omnibus Incentive Plan. Exhibit 10.1 BAKKT HOLDINGS, INC. 2021 OMNIBUS EMPLOYEE INCENTIVE PLAN PERFORMANCE UNIT AGREEMENT NOTICE OF PERFORMANCE UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the “Plan”) will have the same meanings in this Performance Unit Agreement which includes the Notice of Performance Unit Grant (the “Notice of Grant”), |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) BAKKT HOLDINGS, INC. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05759B107 (CUSIP Number) Andrew J. Surdykowski Intercontinental Exchange, Inc. 5660 New Northside Drive Atlanta, GA 30328 770-857-4700 With a Copy to: Rory B. O’Hall |
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| April 26, 2023 |
Powers of Attorney (included on the signature page to this registration statement) Form S-3 Table of Contents As filed with the Securities and Exchange Commission on April 25, 2023 Registration No. |
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| April 26, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) BAKKT HOLDINGS, INC. |
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| April 24, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| April 24, 2023 |
DEFA14A 1 noticeofinternetavailabili.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permit |
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| April 21, 2023 |
Exhibit 107 Form S-1 (Form Type) Bakkt Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Calculation of Filing Fee Tables Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee |
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| April 21, 2023 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Post Effective Amendment No. |
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| April 21, 2023 |
As filed with the Securities and Exchange Commission on April 20, 2023 POS AM Table of Contents As filed with the Securities and Exchange Commission on April 20, 2023 Registration No. |
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| April 21, 2023 |
EX-4.5 Exhibit 4.5 BAKKT HOLDINGS, INC. INDENTURE Dated as of , 20 [] Trustee TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Definitions 1 Section 1.2 Other Definitions 4 Section 1.3 Incorporation by Reference of Trust Indenture Act 5 Section 1.4 Rules of Construction 5 ARTICLE II THE SECURITIES 6 Section 2.1 Issuable in Series 6 Section 2.2 Establishment |
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| April 21, 2023 |
As filed with the Securities and Exchange Commission on April 20, 2023 POS AM As filed with the Securities and Exchange Commission on April 20, 2023 Registration No. |
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| April 21, 2023 |
As filed with the Securities and Exchange Commission on April 20, 2023 Form S-3 Table of Contents As filed with the Securities and Exchange Commission on April 20, 2023 Registration No. |
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| April 21, 2023 |
Powers of Attorney (included on the signature page to this registration statement). Form S-3 Table of Contents As filed with the Securities and Exchange Commission on April 20, 2023 Registration No. |
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| April 21, 2023 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) BAKKT HOLDINGS, INC. |
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| April 21, 2023 |
EX-24.2 Exhibit 24.2 BAKKT HOLDINGS, INC. POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Gavin Michael, Karen Alexander and Marc D’Annunzio, and each one of them, as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for them and in their name, place and stead, i |
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| April 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K Amendment No. |
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| April 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A Amendment No. |
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| April 18, 2023 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Introduction: The unaudited pro forma condensed combined financial information is prepared in accordance with Article 11 of Regulation S-X. The unaudited pro forma condensed combined financial information presents the pro forma effects of the acquisition of Apex Crypto LLC (“Apex”) by Bakkt Holdings, Inc. (the “Company”) on |
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| April 18, 2023 |
Exhibit 99.1 Apex Crypto LLC Financial Statements With Report of Independent Auditor As of and for the year ended December 31, 2022 Table of Contents Report of Independent Auditor 2 Financial Statements 4 Statements of Financial Condition 4 Statements of Operations 5 Statements of Changes in Member's Equity 6 Statements of Cash Flows 7 Notes to the Financial Statements 8 1 Independent Auditor’s Re |
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| April 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2023 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission File |
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| April 3, 2023 |
EX-4.1 Exhibit 4.1 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of April 1, 2023 is by and among Bakkt Holdings, Inc., a Delaware corporation (the “Company”), Apex Fintech Solutions Inc., a Delaware limited liability company (“Investor”), and the other Holders (as defined below) from time to time parties hereto. Capitalized terms used but not define |
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| April 3, 2023 |
EX-2.2 Exhibit 2.2 AMENDMENT NO. 1 TO MEMBERSHIP INTEREST PURCHASE AGREEMENT This Amendment No. 1 (this “Amendment”) to that certain Membership Interest Purchase Agreement dated as of November 2, 2022 (the “Agreement”) is made and entered into as of March 30, 2023, by and among Bakkt Marketplace, LLC (“Purchaser”), Bakkt Holdings, Inc. (“Parent”), Apex Fintech Solutions, Inc. (“Seller”), and Apex |
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| March 24, 2023 |
List of subsidiaries of the registrant. Exhibit 21.1 Subsidiaries of Bakkt Holdings, Inc. Name of Subsidiary Jurisdiction Bakkt Opco Holdings, LLC Delaware Bakkt Trust Company LLC New York Bakkt Marketplace, LLC Virginia Bakkt, LLC Delaware Bakkt Trade, LLC Virginia Bakkt Clearing, LLC Illinois DACC Technologies, Inc. Delaware Digital Asset Custody Company, Inc. Delaware Bridge2Solutions, LLC Delaware B2S Direct, LLC Florida B2S Canada, |
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| March 24, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 Bakkt Holdings, Inc. |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 9, 2023 Bakkt Holdings, Inc. |
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| March 9, 2023 |
exhibit991pressrelease4 Exhibit 99.1 Bakkt Reports Fourth Quarter and Full Year 2022 Results Quarterly net revenues of $15.6 million, increased 14% year over year; full year net revenues of $54.6 million, increased 38% year over year Strong customer activity with fourth quarter digital asset conversion volume up 19% year over year and full year digital asset conversion volume up 51% year over year |
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| February 9, 2023 |
BKKT / Bakkt Holdings Inc - Class A / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Bakkt Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 05759B107 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rul |
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| February 8, 2023 |
BKKT / Bakkt Holdings Inc - Class A / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Bakkt Holdings Inc (Name of Issuer) Common Stock (Title of Class of Securities) 05759B107 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| December 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 8, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 7, 2022 Bakkt Holdings, Inc. |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39544 BAKKT HOLDINGS, INC. |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 10, 2022 Bakkt Holdings, Inc. |
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| November 10, 2022 |
November 10, 2022 Important notice 2 Unless the context otherwise provides, ?we,? ?us,? ?our,? ?Bakkt? and like terms refer (i) prior to October 15, 2021 (the closing date of the business combination), to Bakkt Opco Holdings, LLC (f/k/a Bakkt Holdings, LLC, ?Opco?) and its subsidiaries and (ii) after October 15, 2021, to Bakkt Holdings, Inc. |
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| November 10, 2022 |
Exhibit 99.1 Bakkt Reports Third Quarter 2022 Results Quarterly net revenue of $12.9 million, increased 41% year over year Strong customer activity with digital asset conversion volume up 73% year over year Recently announced signing of definitive agreement to acquire Apex Crypto. Acquisition is expected to significantly expand client verticals and scale Available cash and other liquid assets1 of |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 3, 2022 |
Exhibit 2.1 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT, MARKED BY BRACKETS AND ASTERISKS [***], HAVE BEEN OMITTED BECAUSE THE CONFIDENTIAL OMITTED INFORMATION IS BOTH (I) NOT MATERIAL AND (II) INFORMATION THAT THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE OR CONFIDENTIAL. MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among BAKKT MARKETPLACE, LLC, BAKKT HOLDINGS, INC., APEX FINTECH S |
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| November 3, 2022 |
Exhibit 99.2 Bakkt to acquire Apex Crypto 11.3.22 Important notice Unless the context otherwise provides, ?we,? ?us,? ?our,? ?Bakkt? and like terms refer (i) prior to October 15, 2021 (the closing date of the business combination), to Bakkt Opco Holdings, LLC (f/k/a Bakkt Holdings, LLC, ?Opco?) and its subsidiaries and (ii) after October 15, 2021, to Bakkt Holdings, Inc. and its subsidiaries, incl |
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| November 3, 2022 |
Stockholders’ Agreement, dated as of November 2, 2022, by and between the Company and Seller. Exhibit 4.1 STOCKHOLDERS? AGREEMENT This STOCKHOLDERS? AGREEMENT (this ?Agreement?), dated as of November 2, 2022, is entered into by and between Bakkt Holdings, Inc., a Delaware corporation (the ?Company?), Apex Fintech Solutions Inc., a Delaware limited liability company (?Investor?), and PEAK6 Investments LLC, a Delaware limited liability company agreement (?PEAK6 Investments?). Capitalized ter |
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| November 3, 2022 |
Exhibit 99.1 Bakkt to Acquire Apex Crypto Acquisition is expected to significantly expand client verticals, drive scale, and bolster path to profitability Bakkt and Apex Fintech Solutions will continue commercial relationship Acquisition is subject to regulatory approval ALPHARETTA, GA ? November 3, 2022 ? Bakkt Holdings, Inc. (NYSE: BKKT) (the ?Company? or ?Bakkt?), a digital asset platform that |
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| October 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 28, 2022 |
Bakkt Announces Non-Cash Goodwill and Other Intangible Assets Impairment Charge Exhibit 99.1 Bakkt Announces Non-Cash Goodwill and Other Intangible Assets Impairment Charge ALPHARETTA, GA ? October 28, 2022 ? Bakkt Holdings, Inc. (NYSE: BKKT) (the ?Company? or ?Bakkt?) announced that it completed its annual impairment testing of goodwill and other intangible assets as required by Accounting Standards Codification (ASC) 350 ?Intangibles Goodwill and Other.? As a result of the |
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| October 13, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-261034 PROSPECTUS SUPPLEMENT NO. 13 (to prospectus dated April 13, 2022) 190,726,638 Shares of Class A Common Stock Issuable Upon the Exchange of Paired Interests 32,500,000 Shares of Class A Common Stock issued in the PIPE Financing 5,184,300 Shares of Class A Common Stock Issued in Respect of Founder Shares 3,151,890 shares of Class A Common |
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| October 13, 2022 |
Employment Agreement, dated October 12, 2022, by and between Karen Alexander and the Company Exhibit 10.1 BAKKT HOLDINGS, INC. EMPLOYMENT AGREEMENT FOR KAREN ALEXANDER This is an Employment Agreement (the ?Employment Agreement?), dated as of October 12, 2022, by and between Bakkt Holdings, Inc., a Delaware corporation (together with its direct and indirect subsidiaries, the ?Company?), and Karen Alexander (?Executive?), the terms and conditions of which are as follows: Agreement 1. Term. |
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| October 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 12, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 12, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorpo |
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| October 13, 2022 |
PROSPECTUS SUPPLEMENT NO. 12 Filed Pursuant to Rule 424(b)(3) (to prospectus dated April 13, 2022) Registration No. 333-261034 190,726,638 Shares of Class A Common Stock Issuable Upon the Exchange of Paired Interests 32,500,000 Shares of Class A Common Stock issued in the PIPE Financing 5,184,300 Shares of Class A Common Stock Issued in Respect of Founder Shares 3,151,890 shares of Class A Common |
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| September 12, 2022 |
Form of Performance-Based Restricted Stock Unit Award Agreement Exhibit 10.2 BAKKT HOLDINGS, INC. 2021 OMNIBUS EMPLOYEE INCENTIVE PLAN PERFORMANCE UNIT AGREEMENT NOTICE OF PERFORMANCE UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the ?Plan?) will have the same meanings in this Performance Unit Agreement which includes the Notice of Performance Unit Grant (the ?Notice of Grant?), |
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| September 12, 2022 |
PROSPECTUS SUPPLEMENT NO. 11 Filed Pursuant to Rule 424(b)(3) (to prospectus dated April 13, 2022) Registration No. 333-261034 190,726,638 Shares of Class A Common Stock Issuable Upon the Exchange of Paired Interests 32,500,000 Shares of Class A Common Stock issued in the PIPE Financing 5,184,300 Shares of Class A Common Stock Issued in Respect of Founder Shares 3,151,890 shares of Class A Common |
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| September 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 12, 2022 Bakkt Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39544 98-1550750 (State or other jurisdiction of incorporation) (Commission |
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| September 12, 2022 |
Form of Restricted Stock Unit Award Agreement Exhibit 10.1 BAKKT HOLDINGS, INC. 2021 OMNIBUS EMPLOYEE INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT NOTICE OF RESTRICTED STOCK UNIT GRANT Unless otherwise defined herein, the terms defined in the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan (the ?Plan?) will have the same meanings in this Restricted Stock Unit Agreement which includes the Notice of Restricted Stock Unit Grant (the |
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| September 12, 2022 |
Bakkt Appoints Chip Goodroe as Chief Accounting Officer Exhibit 99.1 Bakkt Appoints Chip Goodroe as Chief Accounting Officer ALPHARETTA, GA ? September 12, 2022 ? Bakkt Holdings, Inc. (NYSE: BKKT) a digital asset platform that unlocks crypto and drives loyalty to create delightful, connected experiences for a broad range of clients, announced today that Chip Goodroe was appointed as its Chief Accounting Officer. In this role, Mr. Goodroe will report to |
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| August 11, 2022 |
Exhibit 99.1 Bakkt Reports Second Quarter 2022 Results Quarterly net revenue of $13.6 million, increased 60% year over year Strong customer activity with digital asset conversion volume up 60% year over year Available cash and other liquid assets1 of over $315 million provides significant growth capital Updated revenue and cash usage guidance for 2022 reflects the current macroeconomic environment |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2022 Bakkt Holdings, Inc. |
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| August 11, 2022 |
PROSPECTUS SUPPLEMENT NO. 10 Filed Pursuant to Rule 424(b)(3) (to prospectus dated April 13, 2022) Registration No. 333-261034 190,726,638 Shares of Class A Common Stock Issuable Upon the Exchange of Paired Interests 32,500,000 Shares of Class A Common Stock issued in the PIPE Financing 5,184,300 Shares of Class A Common Stock Issued in Respect of Founder Shares 3,151,890 shares of Class A Common |
