Form 144: 1,357 RSUs Registered for Sale

Morgan Stanley Smith Barney LLC submitted a Form 144 notice registering the proposed sale of 1,357 restricted stock units of the issuer, dated 06/20/2026.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice registering the proposed sale of 1,357 restricted stock units of the issuer, dated 06/20/2026. The filing also lists recent 10b5-1 sales by Marc Dannunzio: 3,991, 3,789, 5,342, and 6,422 shares on dates in 03/27/2026 through 04/28/2026.

Insights

Securities Compliance Analyst

Form 144 records a planned resale of RSUs and recent 10b5-1 dispositions by an affiliate.

The filing lists 1,357 restricted stock units proposed for sale on 06/20/2026, a routine disclosure required when an affiliate intends to sell equity. It separately itemizes prior 10b5-1 transactions by Marc Dannunzio totaling 19,544 shares across March–April 2026.

These entries are administrative: the Form 144 notifies the SEC of intent to sell; actual sales depend on market execution and plan mechanics. Subsequent filings will report completed transactions.

Key Figures

RSUs registered for resale: 1,357 shares Shares sold (10b5-1): 3,991 shares Shares sold (10b5-1): 3,789 shares +3 more

6 metrics

RSUs registered for resale 1,357 shares Restricted Stock Units, <date>06/20/2026</date>

Shares sold (10b5-1) 3,991 shares <date>04/28/2026</date> proceeds <money>$34,349.74</money>

Shares sold (10b5-1) 3,789 shares <date>04/28/2026</date> proceeds <money>$34,593.57</money>

Shares sold (10b5-1) 5,342 shares <date>03/30/2026</date> proceeds <money>$37,814.95</money>

Shares sold (10b5-1) 6,422 shares <date>03/27/2026</date> proceeds <money>$54,908.10</money>

Reported issuer figure 44,612,329 Figure shown with date <date>06/26/2026</date>

Key Terms

Form 144, 10b5-1, Restricted Stock Units

3 terms

Form 144 regulatory

"144: Securities To Be Sold | Common | 06/20/2026 | Restricted Stock Units"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

10b5-1 regulatory

"10b5-1 Sales for MARC DANNUNZIO ... 04/28/2026"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Restricted Stock Units financial

"Common | 06/20/2026 | Restricted Stock Units | Issuer"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does BKKT's Form 144 disclose about shares to be sold?

It discloses a proposed sale of 1,357 restricted stock units by an affiliate, listed with an effective date of 06/20/2026. The notice signals an intent to sell registered equity under resale rules rather than a company-issued offering.

Who reported recent 10b5-1 sales in the filing for BKKT?

The filing lists multiple 10b5-1 sales by Marc Dannunzio on 03/27/2026, 03/30/2026, and 04/28/2026, showing share amounts of 6,422; 5,342; 3,789; and 3,991 respectively and associated proceeds noted in the filing.

How many shares were sold in recent 10b5-1 transactions shown?

The excerpt lists four sales totaling 19,544 shares across March–April 2026: 6,422, 5,342, 3,789, and 3,991. Each line includes a dollar amount corresponding to proceeds for that transaction.

Does the Form 144 show total shares outstanding for BKKT?

The content includes a figure of 44,612,329 associated with the filing (date 06/26/2026), which appears alongside issuer securities information. It is presented in the filing excerpt as a reported numeric item.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/26/2026 - 04:25 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001871559
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	BAKKT, INC.
SEC File Number	001-39544
Address of Issuer	3280 Peachtree Rd NE Suites 07-128, 07-130 & 07-132 Atlanta GEORGIA 30305
Phone	332-203-3017
Name of Person for Whose Account the Securities are To Be Sold	MARC D'ANNUNZIO
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1357	10625.31	44612329	06/26/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	06/20/2026	Restricted Stock Units	Issuer			1357	06/20/2026	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for MARC DANNUNZIO 3280 Peachtree Rd NE Suites 07-128, 07-130 & 07-132 Atlanta GA 30305	Common	04/28/2026	3991	34349.74
MARC DANNUNZIO 3280 Peachtree Rd NE Suites 07-128, 07-130 & 07-132 Atlanta GA 30305	Common	04/28/2026	3789	34593.57
10b5-1 Sales for MARC DANNUNZIO 3280 Peachtree Rd NE Suites 07-128, 07-130 & 07-132 Atlanta GA 30305	Common	03/30/2026	5342	37814.95
MARC DANNUNZIO 3280 Peachtree Rd NE Suites 07-128, 07-130 & 07-132 Atlanta GA 30305	Common	03/27/2026	6422	54908.10

144: Remarks and Signature

Remarks
Date of Notice	06/26/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	09/10/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Marc D'Annunzio
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)