0000899243-21-049269.txt : 20211221 0000899243-21-049269.hdr.sgml : 20211221 20211221195750 ACCESSION NUMBER: 0000899243-21-049269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211216 FILED AS OF DATE: 20211221 DATE AS OF CHANGE: 20211221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levy Richard N CENTRAL INDEX KEY: 0001413810 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 211510706 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET, SUITE 3900 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VPC Impact Acquisition Holdings Sponsor, LLC CENTRAL INDEX KEY: 0001825041 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39544 FILM NUMBER: 211510707 BUSINESS ADDRESS: STREET 1: 150 NORTH RIVERSIDE PLAZA STREET 2: SUITE 5200 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 705-2788 MAIL ADDRESS: STREET 1: 150 NORTH RIVERSIDE PLAZA STREET 2: SUITE 5200 CITY: CHICAGO STATE: IL ZIP: 60606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bakkt Holdings, Inc. CENTRAL INDEX KEY: 0001820302 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 981550750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10000 AVALON BOULEVARD, SUITE 1000 CITY: ALPHARETTA STATE: GA ZIP: 30009 BUSINESS PHONE: 678-534-5849 MAIL ADDRESS: STREET 1: 10000 AVALON BOULEVARD, SUITE 1000 CITY: ALPHARETTA STATE: GA ZIP: 30009 FORMER COMPANY: FORMER CONFORMED NAME: VPC Impact Acquisition Holdings DATE OF NAME CHANGE: 20200805 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-12-16 0 0001820302 Bakkt Holdings, Inc. BKKT 0001825041 VPC Impact Acquisition Holdings Sponsor, LLC C/O VICTORY PARK CAPITAL ADVISORS, LLC 150 NORTH RIVERSIDE PLAZA, SUITE 5200 CHICAGO IL 60606 1 0 1 0 0001413810 Levy Richard N C/O VICTORY PARK CAPITAL ADVISORS, LLC 150 NORTH RIVERSIDE PLAZA, SUITE 5200 CHICAGO IL 60606 0 0 1 0 Class A common stock, par value $0.0001 per share 2021-12-16 4 S 0 44856 8.98 D 9046806 D Class A common stock, par value $0.0001 per share 2021-12-16 4 S 0 63600 10.27 D 8983206 D Class A common stock, par value $0.0001 per share 2021-12-16 4 S 0 5540 11.19 D 8977666 D The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.90-9.18, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.25-10.36, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00-11.50, inclusive. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. VPC Impact Acquisition Holdings Sponsor, LLC ("VIH Sponsor") is the record holder of the securities reported herein. Richard N. Levy, as Chief Executive Officer and Founder of Victory Park Capital Advisors, LLC, has voting and investment discretion with respect to the securities held of record by VIH Sponsor. Mr. Levy disclaims any beneficial ownership of the securities held by VIH Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Director by Deputization. See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of the Reporting Persons to the Issuer. /s/ Brian Munsie, Attorney-in-Fact for VPC Impact Acquisition Holdings Sponsor, LLC 2021-12-21 /s/ Brian Munsie, Attorney-in-Fact for Richard N. Levy 2021-12-21 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

                                                                 Exhibit 99.1

                   Joint Filer Information

Name of Joint Filer:                VPC Impact Acquisition Holdings Sponsor, LLC


Address of Joint Filer:             c/o Victory Park Capital Advisors, LLC
                                    150 North Riverside Plaza, Suite 5200
                                    Chicago, Illinois 60606


Relationship of Joint
Filer to Issuer:                    10% Owner, Director


Issuer Name and Ticker
or Trading Symbol:                  Bakkt Holdings, Inc. [BKKT]

Date of Event Requiring
Statement:(Month/Day/Year):         12/16/2021






Name of Joint Filer:                Richard N. Levy


Address of Joint Filer:             c/o Victory Park Capital Advisors, LLC
                                    150 North Riverside Plaza, Suite 5200
                                    Chicago, Illinois 60606


Relationship of Joint Filer
to Issuer:                          10% Owner


Issuer Name and Ticker
or Trading Symbol:                  Bakkt Holdings, Inc. [BKKT]


Date of Event Requiring
Statement:(Month/Day/Year):         12/16/2021