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.
Bakkt, Inc. is asking stockholders to vote at a virtual 2026 annual meeting on June 23, 2026. Investors will elect Class II directors Michael Alfred and Lyn Alden to terms running until the 2029 meeting, hold an advisory vote on executive compensation, and ratify Grant Thornton LLP as independent auditors for 2026.
The company highlights a rebuilt strategy under CEO Akshay Naheta, focusing on three business lines: Bakkt Markets, Bakkt Agent, and Bakkt Global. The board is majority independent with an independent chair, fully independent key committees, a clawback policy tied to restatements, and strict prohibitions on hedging, pledging, and short-term trading in company stock. Non‑employee directors receive cash retainers plus annual RSU awards, while named executives are compensated through salary, bonus potential, and significant equity incentives aligned with long-term performance and change‑in‑control protections.
Bakkt, Inc. completed its acquisition of Distributed Technologies Research Global Ltd. through its Cyprus subsidiary Bividen Limited, paying in stock rather than cash. At closing, Bakkt issued 11,316,775 shares of Class A common stock as consideration to DTR’s beneficial holders.
The deal structure is tied to 31.5% of Bakkt’s fully diluted equity (excluding warrants) before closing, adjusted by 196,532 shares based on shareholder loans and excess transaction costs using a $8.65 volume‑weighted average price. Bakkt may issue up to an additional 725,592 shares if certain pre‑existing warrants are exercised. Following closing, CEO Akshay Naheta beneficially owns 11,127,563 shares, or about 22.3% of Bakkt’s securities, and the transaction triggered a change in control for reporting purposes.
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.