Welcome to our dedicated page for Bakkt SEC filings (Ticker: BKKT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Bakkt, Inc. filings document the regulatory record of a public financial technology company focused on digital asset and programmable finance infrastructure. Its SEC disclosures cover operating and financial results, Regulation FD materials, shareholder letters, material-event reports, and securities registered for trading, including Class A common stock and warrants.
Bakkt’s proxy and 8-K filings also address governance matters, executive compensation, shareholder voting items, share-issuance approvals, material agreements, and capital-structure actions such as an at-the-market equity program. The filing record includes notices related to annual-report timing and formal disclosures tied to special meetings, securities issuance mechanics, and public-company reporting obligations.
Morgan Stanley Smith Barney LLC submitted a Form 144 notice registering the proposed sale of 1,357 restricted stock units of the issuer, dated 06/20/2026. The filing also lists recent 10b5-1 sales by Marc Dannunzio: 3,991, 3,789, 5,342, and 6,422 shares on dates in 03/27/2026 through 04/28/2026.
Bakkt, Inc. reported the results of its 2026 Annual Meeting of Stockholders held on June 23, 2026. Stockholders elected Michael Alfred and Lyn Alden as Class II directors to serve until the 2029 Annual Meeting or until their successors are elected and qualified.
Shareholders also approved, on an advisory basis, the compensation of the company’s named executive officers and ratified the selection of Grant Thornton LLC as independent auditors for the fiscal year ending December 31, 2026. Voting was based on 30,761,371 Class A shares entitled to vote, with 18,919,712 shares present in person or by proxy.
Bakkt, Inc. director Michael Alfred increased his indirect stake through open-market purchases of Class A common stock. On June 9, an affiliated limited partnership bought 180,000 shares at an average price of $7.71 per share. On June 10, it bought another 100,000 shares at an average of $7.83 per share. Following these transactions, the partnership holds 905,000 shares indirectly controlled by Alfred. He also has a direct holding of 28,476 shares of Class A common stock subject to RSUs that remain unvested and depend on continued service.
Bakkt, Inc. disclosed that Transchem Ltd.’s Preferential Issue Committee approved the allotment of 47,500,000 warrants to its subsidiary, Bakkt Opco Holdings, LLC. These warrants entitle the holder to acquire ordinary shares of Transchem in line with the terms of a previously approved preferential allotment.
The company paid $9,409,784 for the warrants, described as 25% of the total subscription amount, reflecting an initial cash outlay tied to this investment in the Indian-listed company Transchem.
Bakkt, Inc. is registering the offer and resale of up to 21,010,640 shares of Class A Common Stock for the selling stockholders named in the prospectus, including shares issued in connection with the DTR Acquisition, the Up-C collapse and the Gyzer acquisition. The resale is by selling stockholders in their sole discretion; the Company will receive no proceeds from resales (except potential cash proceeds if certain warrants are exercised). As of April 30, 2026, there were 47,866,956 shares outstanding. The registration implements contractual registration rights granted in connection with the DTR Acquisition and related agreements.
Bakkt, Inc. Chief Operating Officer Nicholas Baes exercised stock options to acquire 671 shares of Class A Common Stock at $10.00 per share. After the transaction, he directly holds 106,937 Class A shares, including 69,988 shares subject to unvested RSU awards, and 52,349 stock options remain outstanding under the referenced option grant.
Bakkt, Inc.’s Chief Financial Officer Alexander Karen exercised stock options to acquire 335 shares of Class A common stock at $10.00 per share on May 15, 2026. After the exercise, he directly holds 56,106 shares, including 18,852 shares subject to restricted and performance stock units that still must vest.
The options exercised are part of a grant that requires a predetermined number of options to be exercised each quarter over eight quarters at $10.00 per share, with each quarterly tranche exercisable only during a defined two-day exercise period, subject to blackout-period adjustments.
Bakkt, Inc. General Counsel & Secretary Marc D'Annunzio exercised stock options for 1,677 shares of Class A common stock at $10.00 per share. After the transaction, he directly holds 111,736 common shares, which include 14,861 shares tied to restricted and performance stock unit awards that are still subject to vesting.
Bakkt, Inc. director Michael Alfred reported indirect open-market purchases of a total of 585,000 shares of Class A Common Stock through Alpine Fox LP at weighted-average prices of about $8.20 and $8.34 per share on May 15 and May 18, 2026. Following these transactions, Alpine Fox LP holds 625,000 shares indirectly, and Alfred also has 28,476 directly held shares subject to RSUs that remain subject to vesting.