Form 4/A for BKKT Bakkt, Inc.
Accepted 2023-05-02 00:00:00 ET · period of report 2023-04-17 · accession 0001871512-23-000007 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MA | 2023-05-02 | 2023-04-17 | BKKT | Michael Gavin Constantine | CEO, Pres, Dir | F - Tax | $1.47 | -338.2K | 2.87M | -11% | -$497.2K |
| MA | 2023-05-02 | 2023-04-17 | BKKT | Michael Gavin Constantine | CEO, Pres, Dir | A - Grant | $0.00 | +611.6K | 3.06M | +25% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-04-17 | F | D | 50,400 | $1.47 | 2,816,813 | D | — | — | (F4) In connection with the vesting of PSUs on April 17, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 17, 2023. (F2) Includes 2,109,617 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting. |
| 2 | Common | Class A Common Stock | 2023-04-17 | F | D | 287,838 | $1.47 | 2,867,213 | D | — | — | (F4) In connection with the vesting of PSUs on April 17, 2023, the issuer withheld Class A Common Stock that would otherwise have been issued to the reporting person to satisfy such person's tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 17, 2023. (F2) Includes 2,109,617 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting. |
| 3 | Common | Class A Common Stock | 2023-04-17 | A | A | 91,137 | $0.00 | 3,155,051 | D | — | — | (F3) Represents the issuance of shares of Class A common stock resulting from vesting of one-third of PSUs granted on 02/01/2022 and the attainment of performance goals. (F2) Includes 2,109,617 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting. |
| 4 | Common | Class A Common Stock | 2023-04-17 | A | A | 520,500 | $0.00 | 3,063,914 | D | — | — | (F1) Represents the issuance of shares of Class A common stock resulting from vesting of one-third of performance stock units ("PSUs") granted on 01/21/2022 and the attainment of performance goals. (F2) Includes 2,109,617 shares of Class A Common Stock subject to restricted stock units awards that remain subject to vesting. |