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.
The Bakkt Holdings, Inc. (NYSE: BKKT) SEC filings page provides direct access to the company’s regulatory disclosures, along with AI-powered tools to help interpret them. Bakkt is a digital asset infrastructure company founded in 2018 and headquartered in New York, New York, with a focus on Bitcoin, tokenization, stablecoin payments, and AI-driven finance. Its filings with the U.S. Securities and Exchange Commission offer detailed insight into how it structures its business, manages risk, and executes its transformation strategy.
Through its periodic and current reports, investors can review Bakkt’s financial results, segment framing, and commentary on its transition to a pure-play digital asset infrastructure platform. Form 10-Q and 10-K filings describe revenue drivers tied to crypto market activity, operating expenses, and the impact of its digital asset and treasury strategies, while also outlining extensive risk factors related to digital assets, stablecoins, and regulatory developments.
Bakkt’s Form 8-K filings highlight material events such as the completion of its capital structure simplification, the holding company reorganization that created a new Bakkt Holdings, Inc. as successor registrant, and its agreement to acquire Distributed Technologies Research Ltd. Additional 8-Ks detail board and executive changes, earnings call materials, and selective strategic investments, including warrant subscriptions in international counterparties.
On this page, users can also monitor specialized filings, such as Form 12b-25 notifications regarding filing timing and Form 15 filings related to the deregistration of the predecessor entity in connection with the reorganization. AI-powered summaries help explain complex sections of lengthy documents, highlight key changes across reporting periods, and surface information on topics like capital structure, digital asset holdings, and governance. For those researching insider activity and equity-linked instruments, access to filings covering warrants and registration rights agreements provides additional context around Bakkt’s equity and financing arrangements.
Intercontinental Exchange, Inc. and Intercontinental Exchange Holdings, Inc. filed Amendment No. 10 to their Schedule 13D for Bakkt Holdings, Inc. The filing reports beneficial ownership of 8,380,362 shares of New Class A Common Stock, representing 33.6% of the class based on 24,038,434 shares outstanding as of November 3, 2025.
The reported amount includes 461,360 Replacement Warrant Shares and 465,890 shares of Series A Non-Voting Convertible Preferred Stock. The preferred shares are convertible 1:1 into New Class A Common Stock upon expiration or termination of the HSR waiting period; they do not have voting rights before conversion, and the warrant shares do not have voting power unless exercised. The filing also notes the consummation of the Up‑C Collapse on November 3, 2025, resulting in a single class of common stock. In connection with the Tax Receivable Agreement and Contribution Agreement, the issuer issued 465,890 preferred shares at $39.34, offsetting $18,328,117 otherwise payable to ICEH.
Bakkt Holdings, Inc. (BKKT) filed a Form 4 reporting changes in Intercontinental Exchange Holdings, Inc.’s indirect holdings tied to a corporate reorganization. Following the transactions on 11/03/2025, ICEH beneficially owned 7,453,112 shares of Class A Common Stock indirectly.
Activity included the acquisition of 649,934 Class A shares and the exchange of 6,803,178 OpCo units into Class A shares on a one-for-one basis, eliminating Class V shares. ICEH also received 465,890 shares of Series A Non‑Voting Convertible Preferred Stock, which convert to Class A upon specified HSR events. Previously acquired Class 1 and Class 2 warrants were exchanged for equivalent Issuer warrants, each covering 230,680 shares at $25.5, immediately exercisable and expiring on 09/04/2029.
Bakkt Holdings (BKKT) insider Marc D’Annunzio, General Counsel & Secretary, reported insider transactions. On November 3, 2025, he acquired 48,188 shares of Class A Common Stock (code M) following a corporate reorganization that exchanged OpCo incentive units and paired Class V stock for Class A shares. Following these transactions, he beneficially owns 117,436 Class A shares.
The filing notes that this total includes 50,229 shares subject to restricted and performance stock unit awards that remain subject to vesting. Separately, on October 31, 2025, he was granted stock options for 134,228 shares at an exercise price of $10 per share, contingent on prior shareholder approval. The options feature quarterly exercisability and a committed-exercise structure with limited exercise windows and potential forfeiture if not exercised as scheduled.
Bakkt Holdings (BKKT) reported an insider equity award by its Chief Operating Officer. On October 31, 2025, the officer reported receiving stock options for 53,691 shares of Class A Common Stock at an exercise price of $10 per share, contingent on shareholder approval obtained the same day. The options vest in eight quarterly tranches, with a required quarterly “committed” exercise and a one-year window for optional portions; early exercises are subject to a lock-up until the originally scheduled date.
Following the transaction, the officer beneficially owned 105,472 shares, which includes 96,143 RSUs that remain subject to vesting.
Bakkt Holdings (BKKT): Form 4 insider update. Chief Financial Officer Karen Alexander reported an equity award effective 10/31/2025. She acquired stock options covering 26,846 shares of Class A common stock at an exercise price of
The holding includes 50,229 shares subject to RSUs and performance stock units that remain subject to vesting. The options were granted on 07/29/2025, contingent on shareholder approval obtained on 10/31/2025, and are structured in eight quarterly tranches with a required “Committed Options” exercise each quarter, optional portions open for one year, and a lock-up for any early exercises until the originally scheduled date.
Bakkt Holdings (BKKT) reported insider activity by its CEO and President. On 11/03/2025, he acquired 69,733 shares of Class A common stock at $39.34, tied to a reorganization and contribution structure using the NYSE “Minimum Price.” Following this, he beneficially owned 261,159 shares.
The filing lists 11,426 RSUs included in that total, scheduled to vest on March 21, 2026. It also discloses 1,607,717 performance stock units eligible to vest over a three-year period from March 21, 2025, with 535,909 PSUs vesting if the 90‑day VWAP rises by 100% above $9.33, plus up to eight additional tranches of 133,976 PSUs for each further 25% increase.
Additionally, he holds stock options to purchase 1,342,282 shares at an exercise price of $10, granted on July 29, 2025 and approved on October 31, 2025, with required quarterly exercises across eight quarters and forfeiture if a quarter is missed.
Bakkt Holdings, Inc. (BKKT) is being removed from listing and/or registration on the New York Stock Exchange under Section 12(b), as reflected in a filed Form 25.
The action covers Class A Common Stock and warrants to purchase Class A Common Stock. The warrants are described as entitling the holder to purchase 1/25th of a share of Class A common stock, with an exercise price of $287.50 for one share of Class A common stock. The filing cites 17 CFR 240.12d2-2(b) and 12d2-2(c), noting compliance with exchange rules and the provision governing voluntary withdrawal.
Bakkt Holdings (BKKT)2,000,000 shares of Class A common stock.
The proposal passed with 10,809,572 votes for, 1,001,367 against, and 7,753 abstentions. The company filed the form of Option Award Agreement as Exhibit 10.1.
Bakkt Holdings, Inc. (BKKT) announced a board change. Director David Clifton resigned effective October 31, 2025. The company stated his resignation was not the result of any dispute or disagreement with the company or its Board on matters related to operations, policies, or practices.
The company issued a press release on October 31, 2025, which was furnished as Exhibit 99.1 under Regulation FD.
Bakkt Holdings (BKKT): beneficial ownership update. Horizon Kinetics Asset Management LLC filed an amended Schedule 13G reporting beneficial ownership of 328,529 shares of Bakkt common stock, representing 2.3% of the class.
The filer reports sole voting power: 328,529 shares and sole dispositive power: 328,529 shares, with no shared voting or dispositive power. The event date triggering the filing is 09/09/2025.
The certification states the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control. Filing type: Schedule 13G/A (Amendment No. 3); reporting person classification: Investment Adviser.
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