Form 4 for BKKT Bakkt, Inc.

Accepted 2024-03-20 00:00:00 ET · period of report 2024-03-18 · accession 0001870910-24-000004 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
M	2024-03-20	2024-02-18+	BKKT	Alexander Karen	CFO	A - Grant	$0.00	+617.9K	954.2K	+184%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A Common Stock	2024-03-18	A	A	43,942	$0.00	390,385	D	—	—	(F1) Represents the issuance of shares of Class A common stock resulting from vesting of performance stock units ("PSUs") granted on 02/13/2023 and the attainment of performance goals. (F2) Includes 224,118 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting.
2	Common	Class A Common Stock	2024-02-18	A	A	10,166	$0.00	964,367	D	—	—	(F5) These securities are PSUs resulting from attainment of performance goals. Each PSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The PSUs shall vest on August 26, 2024, provided that the reporting person continues to be employed by the issuer as of such vesting date. (F6) Includes 798,100 shares of Class A Common Stock subject to RSU and PSU awards that remain subject to vesting.
3	Common	Class A Common Stock	2024-02-18	A	A	563,816	$0.00	954,201	D	—	—	(F3) These securities are RSUs. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock. The RSUs shall vest in two equal annual installments on the first two anniversaries of March 18, 2024, provided that the reporting person continues to be employed by the issuer as of each vesting date. (F4) Includes 787,934 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.