Bakkt (BKKT) CAO reports 95 & 169 share sales at $18.75/$21.50

Bakkt Holdings, Inc. (BKKT) officer Joseph Sean‑Walsh Henderson filed a Form 4 detailing two sales of Class A common stock.

Rhea-AI Filing Summary

Bakkt Holdings, Inc. (BKKT) officer Joseph Sean‑Walsh Henderson filed a Form 4 detailing two sales of Class A common stock. On 07/15/2025, he sold 95 shares at $18.75, noted as a sale to cover tax obligations from RSU vesting. On 11/12/2025, he sold 169 shares at $21.50.

Following these transactions, his directly held beneficial ownership changed from 13,566 shares after the July sale to 13,397 shares after the November sale. The filing notes this amount includes 13,397 shares subject to RSU awards that remain subject to vesting.

Insider Trade Summary

Net Seller: 264 shares

Net Sell 2 txns

Insider Henderson Joseph Sean-Walsh

Role Chief Accounting Officer

Sold 264 shs ($5K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	169	$21.50	$4K
Sale	Class A Common Stock	95	$18.75	$2K

Holdings After Transaction: Class A Common Stock — 13,397 shares (Direct)

Footnotes (2)

1. F1. Represents sale to cover tax obligations associated with the vesting of restricted stock units ("RSUs").
2. F2. Includes 13,397 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.

FAQ

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

What did Bakkt (BKKT)'s officer report on Form 4?

Two sales of Class A common stock: 95 shares at $18.75 on 07/15/2025 and 169 shares at $21.50 on 11/12/2025.

Who is the reporting person in the BKKT Form 4?

Joseph Sean‑Walsh Henderson, the Chief Accounting Officer.

How many BKKT shares did the officer own after the reported trades?

Beneficial ownership was 13,566 shares after the July sale and 13,397 shares after the November sale, held directly.

Was any sale linked to tax withholding on RSUs?

Yes. The 95‑share sale on 07/15/2025 was to cover tax obligations from RSU vesting.

Do the reported holdings include unvested RSUs?

Yes. The filing states the 13,397 shares include shares subject to RSU awards that remain subject to vesting.

What were the transaction codes used?

Both transactions are coded S, indicating open‑market or private sales.

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

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Accepted by SEC EDGAR 11/13/2025 - 06:56 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Henderson Joseph Sean-Walsh

(Last) (First) (Middle)

C/O BAKKT HOLDINGS, INC.

1 LIBERTY ST FL 3 STE 305-306

(Street)

NEW YORK NY 10006

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
07/15/2025

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A Common Stock	07/15/2025		S		95(1)	D	$18.75	13,566(2)	D
Class A Common Stock	11/12/2025		S		169	D	$21.5	13,397(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents sale to cover tax obligations associated with the vesting of restricted stock units ("RSUs").

2. Includes 13,397 shares of Class A Common Stock subject to RSU awards that remain subject to vesting.

	/s/ Paul Simmons Attorney-in-Fact for Joseph Sean-Walsh Henderson	11/13/2025
	** 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 4 (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.