Bakkt director Richard Galvin reports 6,654 RSUs in Class A stock

Bakkt Holdings, Inc. director Richard Galvin reported his beneficial ownership of the company’s equity.

Rhea-AI Filing Summary

Bakkt Holdings, Inc. director Richard Galvin reported his beneficial ownership of the company’s equity. He holds 6,654 shares of Class A common stock, reported as directly owned.

The filing explains that these holdings consist of restricted stock units (RSUs), with each RSU representing a right to receive one share of Class A common stock. All of the RSUs are scheduled to vest on June 17, 2026, provided Mr. Galvin continues to provide service to Bakkt through that date. The ownership report reflects his status as a director and a single reporting person.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider GALVIN RICHARD WILLIAM

Role Director

Type	Security	Shares	Price	Value
holding	Class A Common Stock	--	--	--

Holdings After Transaction: Class A Common Stock — 6,654 shares (Direct)

Footnotes (1)

1. F1. 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. 100% of the RSUs shall vest on June 17, 2026, provided that the reporting person continues to provide service to the issuer through such date.

FAQ

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

What insider position is reported for Bakkt Holdings (BKKT) in this filing?

The filing reports Richard Galvin as a director of Bakkt Holdings, Inc. (BKKT) and provides details on his beneficial ownership of company equity.

How many Bakkt Holdings (BKKT) shares does Richard Galvin beneficially own?

Richard Galvin beneficially owns 6,654 shares of Bakkt Holdings Class A Common Stock, reported as directly owned.

What type of securities make up Richard Galvin’s Bakkt (BKKT) holdings?

His reported holdings are restricted stock units (RSUs), with each RSU representing a contingent right to receive one share of Bakkt’s Class A Common Stock.

When do Richard Galvin’s Bakkt (BKKT) RSUs vest?

The filing states that 100% of the RSUs vest on June 17, 2026, provided Richard Galvin continues to provide service to Bakkt through that date.

Is Richard Galvin’s Bakkt (BKKT) ownership direct or indirect?

The 6,654 Class A Common Stock shares underlying the RSUs are reported as direct (D) beneficial ownership.

Does this Bakkt (BKKT) filing report any derivative securities like options or warrants?

The filing’s explanation states that the relevant securities are restricted stock units (RSUs); no separate options or warrants are listed in the derivative table excerpt.

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

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Accepted by SEC EDGAR 12/05/2025 - 05:42 PM EST Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

GALVIN RICHARD WILLIAM

(Last) (First) (Middle)

C/O BAKKT HOLDINGS, INC.

1 LIBERTY ST FL 3 STE 305-306

(Street)

NEW YORK NJ 10006

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/08/2025

3. Issuer Name and Ticker or Trading Symbol
Bakkt Holdings, Inc. [ BKKT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock	6,654(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 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. 100% of the RSUs shall vest on June 17, 2026, provided that the reporting person continues to provide service to the issuer through such date.

	/s/ Paul Simmons Attorney-in-Fact for Richard Galvin	12/05/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.