Bakkt, Inc. filings document the regulatory record of a public financial technology company focused on digital asset and programmable finance infrastructure. Its SEC disclosures cover operating and financial results, Regulation FD materials, shareholder letters, material-event reports, and securities registered for trading, including Class A common stock and warrants.
Bakkt’s proxy and 8-K filings also address governance matters, executive compensation, shareholder voting items, share-issuance approvals, material agreements, and capital-structure actions such as an at-the-market equity program. The filing record includes notices related to annual-report timing and formal disclosures tied to special meetings, securities issuance mechanics, and public-company reporting obligations.
Bakkt, Inc. (BKKT) is named in a Form 25 notification from the New York Stock Exchange LLC for removal from listing and/or registration of its warrants to purchase Class A common stock. Each warrant entitles its holder to purchase 1/25th of a share at an exercise price of $287.50 for one share of Class A common stock.
Bakkt, Inc. CEO Akshay Sudhir Naheta received 243,454 restricted stock units (RSUs) on September 30, 2026, under the company's 2021 Omnibus Employee Incentive Plan. The RSUs vest in equal annual installments through 2028, subject to his continued employment; each represents a contingent right to receive one share of Class A common stock. His reported post-transaction position was 9,336,976 shares, including 803,856 performance stock units and 243,454 RSUs that remain subject to vesting conditions.
Bakkt, Inc. General Counsel & Secretary Marc D’Annunzio received 45,000 restricted stock units (RSUs) on September 30, 2026, under the company’s 2021 Omnibus Employee Incentive Plan. The RSUs vest in full on the one-year anniversary of the grant date, subject to his continued employment; each RSU represents a contingent right to receive one share of Class A common stock. His reported direct position after the award was 152,006 shares, including 53,553 RSUs subject to vesting conditions.
Bakkt, Inc. Chief Operating Officer Nicholas Baes received a grant of 30,000 restricted stock units on September 30, 2026, under the company’s 2021 Omnibus Employee Incentive Plan. The RSUs fully vest on the one-year anniversary of the grant date, subject to his continued employment; each RSU represents a contingent right to receive one share of Class A common stock. His reported direct position following the grant was 134,103 shares, including 74,330 RSUs that remain subject to certain vesting conditions.
Bakkt, Inc. Chief Accounting Officer Joseph Sean-Walsh Henderson received a grant of 20,000 restricted stock units (RSUs) on September 30, 2026, under the company’s 2021 Omnibus Employee Incentive Plan. The RSUs fully vest on the one-year anniversary of the grant date, subject to his continued employment; each RSU is a contingent right to receive one Class A common share. Reported holdings following the grant were 32,672 shares, including 21,851 RSUs that remain subject to vesting conditions.
Bakkt, Inc. Chief Accounting Officer Henderson Joseph Sean-Walsh sold 282 shares of Class A Common Stock at $8.61 per share on September 23, 2026, to cover tax obligations associated with restricted stock unit vesting. His reported direct holdings after the sale were 12,672 shares, including 1,851 shares subject to vesting. No Rule 10b5-1 plan is reported.
Bakkt, Inc. General Counsel & Secretary Marc D'Annunzio sold 1,272 shares of Class A Common Stock at $8.61 per share on September 23, 2026. The sale covered tax obligations associated with the vesting of restricted stock units. After the sale, he reported 107,006 shares, including 8,553 shares subject to restricted stock units that remain subject to vesting. No Rule 10b5-1 plan is reported.
Bakkt, Inc. Chief Operating Officer Nicholas Baes sold 1,272 Class A common shares on September 23, 2026, at $8.61 per share. The sale covered tax obligations associated with the vesting of restricted stock units. After the sale, his reported position was 104,103 shares, including 44,330 shares subject to restricted stock units that remain subject to vesting.
Bakkt, Inc. (BKKT) reported that Matthew A. White serves as its Chief Financial Officer, effective August 17, 2026. This Form 3 is an initial statement of beneficial ownership, and it does not list any reportable holdings or transactions in Bakkt, Inc. securities for Mr. White.
Bakkt, Inc. (BKKT) director Alfred Michael reported an open-market purchase of 296,567 shares of Class A Common Stock on 2026-08-18. The shares were bought indirectly through Alpine Fox LP, over which he has control, at a weighted-average price of $7.12 per share in multiple trades between $6.88 and $7.32. Following this transaction, his indirect holdings through the limited partnership total 1,201,567 shares of Class A Common Stock. The filing’s Rule 10b5-1 box was unchecked, indicating the trade was not reported as made under a 10b5-1 trading plan.