Form 144: 3,991 RSUs listed for sale

Marc Dannunzio filed a Form 144 to sell 3,991 Restricted Stock Units dated 04/22/2026.

Rhea-AI Filing Summary

Marc Dannunzio filed a Form 144 to sell 3,991 Restricted Stock Units dated 04/22/2026. The filing also lists recent 10b5-1 sales: 5,342 shares for $37,814.95 on 03/30/2026, 6,422 shares for $54,908.10 on 03/27/2026, and 785 shares for $7,924.33 on 02/24/2026.

Insights

Insider Transactions Compliance Specialist

Form 144 notifies the market of a proposed sale of 3,991 RSUs and lists recent 10b5-1 sales.

The filing documents a proposed sale of 3,991 Restricted Stock Units dated 04/22/2026 and records three executed 10b5-1 plan sales in February–March 2026. The listed dollar amounts are the gross proceeds reported for each trade.

Timing and method are governed by Rule 144 and the 10b5-1 plan terms; subsequent SEC filings could show settlement or completion.

Key Figures

RSUs listed for sale: 3,991 shares 10b5-1 sale (03/30/2026): 5,342 shares 10b5-1 sale (03/27/2026): 6,422 shares +1 more

4 metrics

RSUs listed for sale 3,991 shares Restricted Stock Units dated 04/22/2026

10b5-1 sale (03/30/2026) 5,342 shares Proceeds reported $37,814.95 on 03/30/2026

10b5-1 sale (03/27/2026) 6,422 shares Proceeds reported $54,908.10 on 03/27/2026

10b5-1 sale (02/24/2026) 785 shares Proceeds reported $7,924.33 on 02/24/2026

Key Terms

Restricted Stock Units, 10b5-1, Form 144

3 terms

Restricted Stock Units financial

"Restricted Stock Units | Issuer | 3991 | 04/22/2026"

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.

10b5-1 regulatory

"10b5-1 Sales for MARC DANNUNZIO ... 03/30/2026"

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.

Form 144 regulatory

"144: Securities To Be Sold"

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.

FAQ

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

What does the BKKT Form 144 say about the securities being sold?

The filing states 3,991 Restricted Stock Units were listed for sale dated 04/22/2026. It records this proposed sale and identifies the security class as Restricted Stock Units, with the date tied to the reported transaction.

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

The filing shows Marc Dannunzio executed the listed 10b5-1 sales. It itemizes trades on 03/30/2026, 03/27/2026, and 02/24/2026 with corresponding share counts and proceeds.

What were the sizes and proceeds of the recent 10b5-1 trades in the filing?

Reported trades include 5,342 shares for $37,814.95 (03/30/2026), 6,422 shares for $54,908.10 (03/27/2026), and 785 shares for $7,924.33 (02/24/2026). These are the gross proceeds shown.

Does the Form 144 indicate how proceeds will be used for BKKT?

No use-of-proceeds allocation is provided in the excerpt. The Form 144 lists the securities and recent sales but does not state any company-level use for sale proceeds.

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

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Accepted by SEC EDGAR 04/28/2026 - 04:29 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	One Liberty Plaza One Liberty Street New York NEW YORK 10006
Phone	332-203-3017
Name of Person for Whose Account the Securities are To Be Sold	MARC DANNUNZIO
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	3991	35919.00	30562096	04/28/2026	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	04/22/2026	Restricted Stock Units	Issuer			3991	04/22/2026	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 One Liberty Plaza One Liberty Street New York NY 10006	Common	03/30/2026	5342	37814.95
MARC DANNUNZIO One Liberty Plaza One Liberty Street New York NY 10006	Common	03/27/2026	6422	54908.10
10b5-1 Sales for MARC DANNUNZIO One Liberty Plaza One Liberty Street New York NY 10006	Common	02/24/2026	785	7924.33

144: Remarks and Signature

Remarks
Date of Notice	04/28/2026
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)