Form 4/A for BKKT Bakkt, Inc.
Accepted 2024-04-09 00:00:00 ET · period of report 2024-03-18 · accession 0001871559-24-000005 · 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 | 2024-04-09 | 2024-03-18 | BKKT | D'Annunzio Marc | GC, Sec | A - Grant | $0.00 | +637.0K | 639.8K | +22,636% | $0 |
| A | 2024-04-09 | 2024-04-05 | BKKT | D'Annunzio Marc | GC, Sec | F - Tax | $0.52 | -13.1K | 1.19M | -1% | -$6,809 |
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 | 2024-03-18 | A | A | 14,645 | $0.00 | 610,503 | D | — | — | (F4) Represents the issuance of shares of Class A common stock resulting from vesting of PSUs granted on February 13, 2023 and the attainment of performance goals. (F2) Includes 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. |
| 2 | Common | Class A Common Stock | 2024-03-18 | A | A | 20,334 | $0.00 | 586,964 | 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 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. |
| 3 | Common | Class A Common Stock | 2024-03-18 | A | A | 8,894 | $0.00 | 595,858 | 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 216,630 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. |
| 4 | Common | Class A Common Stock | 2024-03-18 | A | A | 563,816 | $0.00 | 1,203,616 | D | — | — | (F7) These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock. 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. (F8) Includes 809,743 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting. |
| 5 | Common | Class A Common Stock | 2024-04-05 | F | D | 13,095 | $0.52 | 1,190,521 | D | — | — | (F9) In connection with the vesting of PSUs on March 18, 2024, 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 March 18, 2024. (F8) Includes 809,743 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting. |
| 6 | Common | Class A Common Stock | 2024-03-18 | A | A | 29,297 | $0.00 | 639,800 | 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 in two equal annual installments on each anniversary of February 23, 2023, provided that the reporting person continues to be employed by the issuer as of each vesting date. (F6) Includes 245,927 shares of Class A Common Stock subject to RSUs and PSUs that remain subject to vesting. |