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.
Bakkt, Inc. Chief Financial Officer Alexander Karen sold 4,684 shares of Class A common stock at $9.13 per share. The footnote explains this sale was made to cover tax obligations from vesting restricted stock units, making it a mechanically driven transaction rather than a discretionary sale.
After the sale, Karen directly holds 55,771 shares of Class A common stock, which includes 18,852 shares subject to restricted stock units and performance stock units that are still subject to vesting conditions.
Bakkt, Inc. Chief Operating Officer Nicholas Baes reported a small open-market sale of 2,352 shares of Class A Common Stock at $9.13 per share. The transaction was made to cover tax obligations tied to vesting restricted stock units, according to the footnote.
After this transaction, Baes directly holds 106,266 shares of Class A Common Stock, including 69,988 shares underlying RSU awards that are still subject to vesting conditions.
Bakkt, Inc. General Counsel & Secretary Marc D’Annunzio reported open-market sales of 7,780 shares of Class A Common Stock. The transactions occurred on April 28, 2026 at weighted-average prices of about $8.60 and $9.13 per share.
According to the filing footnotes, the sales were made to cover tax obligations tied to vesting restricted stock units and were executed under a pre-arranged Rule 10b5-1 trading plan. After these tax-related sales, he continued to hold a direct stake of more than 100,000 shares, including shares underlying unvested restricted stock and performance stock units.
Marc Dannunzio filed a Form 144 to sell 3,991 Restricted Stock Units dated 04/22/2026. The filing also lists recent 10b5-1 sales: 5,342 shares for $37,814.95 on 03/30/2026, 6,422 shares for $54,908.10 on 03/27/2026, and 785 shares for $7,924.33 on 02/24/2026.
Bakkt, Inc. reconvened a special stockholder meeting and obtained approval to issue additional Class A common shares in connection with its acquisition of Distributed Technologies Research Global Ltd. (DTR). This issuance will equal 31.5% of Bakkt’s Class A common stock and other fully converted equity outstanding immediately before the deal closes, excluding warrants, and will be issued to DTR’s beneficial owners, including CEO Akshay Naheta.
At the reconvened meeting, stockholders representing 13,266,200 Class A shares, or about 51.49% of eligible voting power, were present, satisfying quorum requirements. The Issuance Proposal passed with 12,999,817 votes for, 229,734 against, and 36,649 abstentions, so a separate adjournment vote was not needed.
Bakkt, Inc. Chief Operating Officer Nicholas Baes reported an open-market sale of 711 shares of Class A Common Stock at $7.56 per share on April 6, 2026. A footnote explains this sale was made to cover tax obligations from vesting restricted stock units.
After the transaction, Baes directly held 101,312 shares of Class A Common Stock, including 77,294 shares subject to RSU awards that are still scheduled to vest over time. This filing reflects a small, tax-related disposition relative to his remaining equity position.
Bakkt, Inc. General Counsel and Secretary Marc D'Annunzio reported open-market sales of Class A Common Stock totaling 11,764 shares. He sold 6,422 shares on March 27, 2026 at $8.55 per share and 5,342 shares on March 30, 2026 at a weighted-average price of $7.0788 per share.
According to the filing, the transactions were made under a Rule 10b5-1 trading plan adopted on September 10, 2025, and the sales represent shares sold to cover tax obligations related to vesting restricted stock units. After these trades, he holds 106,069 shares directly, including 30,622 shares underlying unvested restricted and performance stock unit awards.
BKKT submitted a Form 144 notice to sell 5,342 shares of Common Stock dated 03/20/2026. The filing lists the securities as Restricted Stock Units. The record shows a prior 10b5-1 sale of 785 shares on 02/24/2026.
Bakkt, Inc. adjourned its special stockholder meeting to a later date to secure enough votes for a key share issuance proposal tied to its acquisition of Distributed Technologies Research Global Ltd. (DTR). The vote seeks approval to issue Class A Common Stock to DTR’s beneficial owners, including Akshay Naheta, under New York Stock Exchange rules.
As of close of business on March 23, 2026, proxies representing approximately 48.2% of shares outstanding had been submitted, with about 99.1% of those votes cast in favor of the issuance proposal. The meeting lacked a quorum and was adjourned to reconvene virtually on April 17, 2026, using the existing February 10, 2026 record date. Previously submitted proxies remain valid unless withdrawn, and no changes were made to the proposals.
Bakkt, Inc. files its annual report describing a major strategic shift toward institutional digital asset infrastructure built around its Bakkt Markets, Bakkt Agent and Bakkt Global platforms. The company divested non-core businesses in 2025, including its Loyalty business and Bakkt Trust, to simplify its structure and focus on core trading and payments services.
Bakkt highlights an internal reorganization that collapsed its prior Up-C structure into a single class of common stock, and details extensive U.S. licensing, including money transmitter licenses and a New York BitLicense. It adopted an investment policy in 2025 that allows use of excess capital and future financings to purchase Bitcoin or other digital assets, but states it has not yet made such purchases.
The report outlines a planned acquisition of Distributed Technologies Research Global Ltd., a stablecoin payments infrastructure provider, to be paid in stock equal to 31.5% of Bakkt’s fully diluted share count at closing, subject to shareholder approval and other conditions. Bakkt also notes a February 2026 registered direct offering that raised approximately $48.125 million in gross proceeds through new common shares and pre-funded warrants, intended for working capital, general corporate purposes and strategic initiatives.