Bakkt grants Marc D’Annunzio 45,000 stock units

Q: How many RSUs did Bakkt’s General Counsel receive?

Marc D’Annunzio received 45,000 RSUs on September 30, 2026, under Bakkt’s 2021 Omnibus Employee Incentive Plan.

The General Counsel’s 45,000 RSUs vest in full on the grant’s one-year anniversary, subject to continued employment.

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Rhea-AI Filing Summary

Bakkt, Inc. General Counsel & Secretary Marc D’Annunzio received 45,000 restricted stock units (RSUs) on September 30, 2026, under the company’s 2021 Omnibus Employee Incentive Plan. The RSUs vest in full on the one-year anniversary of the grant date, subject to his continued employment; each RSU represents a contingent right to receive one share of Class A common stock. His reported direct position after the award was 152,006 shares, including 53,553 RSUs subject to vesting conditions.

Insider Trade Summary

Grant/Award: 45,000 shares

Grant/Award 1 txn

Insider D'Annunzio Marc

Role General Counsel & Secretary

Type	Security	Shares	Price	Value
Grant/Award	Class A Common Stock ^{F1, F2}	45,000	$0.00	$0.00

Holdings After Transaction: Class A Common Stock — 152,006 shares (Direct)

Footnotes (2)

F1. Represents 45,000 restricted stock units ("RSUs") granted to the Reporting Person on September 30, 2026 ("Grant Date"), under the Company's 2021 Omnibus Employee Incentive Plan. The RSUs shall fully vest on the one-year anniversary of the Grant Date, subject to the Reporting Person's continued employment with the Company. Each RSU represents a contingent right to receive one share of the Company's Class A common stock.
F2. Includes 53,553 Restricted Stock Units that remain subject to certain vesting conditions.

Key Figures

RSUs granted: 45,000 RSUs Reported direct position after award: 152,006 shares RSUs subject to vesting conditions: 53,553 RSUs +2 more

5 metrics

RSUs granted 45,000 RSUs September 30, 2026

Reported direct position after award 152,006 shares After the September 30, 2026 award

RSUs subject to vesting conditions 53,553 RSUs Included in the reported post-award position

Vesting period One year Full vesting on the grant-date anniversary, subject to continued employment

Shares per RSU 1 share Contingent right to receive Class A common stock

Key Terms

restricted stock units, vesting conditions, contingent right, 2021 Omnibus Employee Incentive Plan

4 terms

restricted stock units financial

"Represents 45,000 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.

vesting conditions financial

"Restricted Stock Units that remain subject to certain vesting conditions"

Vesting conditions are the rules that determine when someone earning company stock or stock options actually gains the right to keep or sell them, typically based on staying with the company for a set time or meeting performance targets. Think of it like keys that unlock gradually — some unlock by calendar date, others only after agreed milestones. Investors care because vesting shapes management incentives, the timing of share sales, and the number of shares that can enter the market, which can affect a company's valuation and ownership mix.

contingent right financial

"Each RSU represents a contingent right to receive one share"

2021 Omnibus Employee Incentive Plan financial

"under the Company's 2021 Omnibus Employee Incentive Plan"

FAQ

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

How many RSUs did Bakkt’s General Counsel receive?

Marc D’Annunzio received 45,000 RSUs on September 30, 2026, under Bakkt’s 2021 Omnibus Employee Incentive Plan.

What does a Bakkt RSU represent?

Each RSU represents a contingent right to receive one share of Bakkt Class A common stock.

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

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Available on EDGAR 10/02/2026 - 05:32 PM Accepted by SEC EDGAR 10/02/2026 - 05:32 PM

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^*

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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	General Counsel & Secretary

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/30/2026

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

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	09/30/2026		A		45,000⁽¹⁾	A	$0	152,006⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Represents 45,000 restricted stock units ("RSUs") granted to the Reporting Person on September 30, 2026 ("Grant Date"), under the Company's 2021 Omnibus Employee Incentive Plan. The RSUs shall fully vest on the one-year anniversary of the Grant Date, subject to the Reporting Person's continued employment with the Company. Each RSU represents a contingent right to receive one share of the Company's Class A common stock.

2. Includes 53,553 Restricted Stock Units that remain subject to certain vesting conditions.

Remarks:

	/s/ Marc D'Annunzio	10/02/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR