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Bakkt (NYSE: BKKT) general counsel sells 539 shares for RSU tax obligations

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Bakkt, Inc. general counsel and secretary Marc D'Annunzio reported selling 539 shares of Class A Common Stock on 2026-07-15 at $8.44 per share. The sale covered tax obligations from restricted stock unit vesting, and he now directly holds 108,278 shares, including 12,829 subject to continued vesting.

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Insider D'Annunzio Marc
Role General Counsel & Secretary
Sold 539 shs ($5K)
Type Security Shares Price Value
Sale Class A Common Stock 539 $8.44 $5K
Holdings After Transaction: Class A Common Stock — 108,278 shares (Direct)
Footnotes (1)
  1. Represents sale to cover tax obligations associated with the vesting of restricted stock units. Includes 12,829 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.
Shares sold 539 shares Class A Common Stock sold on 2026-07-15
Sale price per share $8.44 Price per share for the 539-share sale
Shares held after transaction 108,278 shares Direct Class A Common Stock holdings following the sale
Unvested RSU-linked shares included 12,829 shares Shares subject to restricted stock units that remain subject to vesting
Net shares sold reported 539 shares Net-sell direction per transaction summary
restricted stock units financial
"associated with the vesting of restricted stock units."
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.
Class A Common Stock financial
"Includes 12,829 shares of Class A Common Stock subject"
Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.
tax obligations financial
"sale to cover tax obligations associated with the vesting"

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

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FAQ

What insider transaction did Bakkt (BKKT) general counsel report?
Marc D'Annunzio reported a sale of 539 shares of Bakkt Class A Common Stock on 2026-07-15 at $8.44 per share. This transaction was disclosed as part of his insider holdings update.

Why did Bakkt (BKKT) insider Marc D'Annunzio sell 539 shares?
The 539-share sale was made to cover tax obligations arising from the vesting of restricted stock units. The footnote specifies the sale’s purpose as tax-related, rather than a discretionary portfolio trade.

How many Bakkt (BKKT) shares does Marc D'Annunzio hold after the sale?
After the reported sale, Marc D'Annunzio directly holds 108,278 shares of Bakkt Class A Common Stock. This figure includes 12,829 shares tied to restricted stock units that remain subject to vesting conditions.

What portion of Marc D'Annunzio’s Bakkt (BKKT) holdings are still unvested?
Of Marc D'Annunzio’s 108,278 shares reported after the transaction, 12,829 shares are subject to restricted stock units that remain subject to vesting, according to the footnote in the disclosure.

Was the Bakkt (BKKT) insider sale linked to a Rule 10b5-1 trading plan?
The filing’s Rule 10b5-1 checkbox is not marked as a plan transaction. Instead, the footnote explains the 539-share sale was conducted specifically to cover tax obligations from restricted stock unit vesting.
SEC Form 4
FORM 4UNITED 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*
D'Annunzio Marc
(Last)(First)(Middle)
C/O BAKKT, INC.
3280 PEACHTREE RD NE, 7TH FLOOR
(Street)
ATLANTA GEORGIA 30305
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Bakkt, Inc. [ BKKT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
General Counsel & Secretary
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/15/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
Class A Common Stock07/15/2026S539(1)D$8.44108,278(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents sale to cover tax obligations associated with the vesting of restricted stock units.
2. Includes 12,829 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.
Remarks:
/s/ Marc D'Annunzio07/17/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR