Bakkt, Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Alexander Karen | Chief Financial Officer | Tax Withholding | 362 | $27.56 | $9,977 | 39,637 | Dec 23, 2024 |
| Baes Nicholas | Chief Operating Officer | Award / Grant | 49,907 | — | — | 76,198 | Dec 23, 2024 |
| Henderson Joseph Sean-Walsh | Chief Accounting Officer | Award / Grant | 6,546 | — | — | 7,346 | Dec 17, 2024 |
| BROWN COLLEEN B | — | Award / Grant | 12,228 | — | — | 14,956 | Sep 11, 2024 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 469 | $11.29 | $5,295 | 39,637 | Aug 27, 2024 |
| Collins Sean Roberts | — | Award / Grant | 21,875 | — | — | 33,237 | Jun 28, 2024 |
| Simeone Jill | — | Award / Grant | 11,364 | — | — | 21,263 | Jun 28, 2024 |
| GOLDBERG MICHELLE J | — | Award / Grant | 11,364 | — | — | 21,065 | Jun 28, 2024 |
| Dow De'Ana | — | Award / Grant | 11,364 | — | — | 41,928 | Jun 28, 2024 |
| Lumb Richard | — | Award / Grant | 11,364 | — | — | 21,065 | Jun 28, 2024 |
| Watson Gordon | — | Award / Grant | 14,205 | — | — | 26,231 | Jun 28, 2024 |
| Alexander Karen | Chief Financial Officer | Award / Grant | 23,541 | — | — | 39,355 | May 30, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Award / Grant | 23,541 | — | — | 47,789 | May 30, 2024 |
| Intercontinental Exchange Holdings, Inc. | — | Purchase | 350,880 | $0.87 | $305,266 | 649,934 | Apr 25, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Sale | 20,504 | $0.40 | $8,202 | 606,201 | Apr 22, 2024 |
| Main Andrew A | CHIEF EXEC OFFICER & PRESIDENT | Award / Grant | 9,146,341 | — | — | 9,457,983 | Mar 26, 2024 |
| Michael Gavin Constantine | CEO and President | Award / Grant | 37,062 | — | — | 2,520,022 | Mar 18, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Award / Grant | 43,942 | — | — | 639,800 | Mar 18, 2024 |
| Alexander Karen | Chief Financial Officer | Award / Grant | 563,816 | — | — | 954,201 | Mar 18, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Award / Grant | 29,297 | — | — | 639,800 | Mar 18, 2024 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 5,194 | $0.52 | $2,701 | 959,173 | Mar 18, 2024 |
| Intercontinental Exchange, Inc. | — | Purchase | 2,762,009 | $0.87 | $2,402,948 | 7,476,345 | Mar 4, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Tax Withholding | 21,280 | $0.96 | $20,429 | 616,877 | Feb 23, 2024 |
| Goodroe Charles | Chief Accounting Officer | Tax Withholding | 1,319 | $0.96 | $1,266 | 32,789 | Feb 22, 2024 |
| Michael Gavin Constantine | CEO and President | Tax Withholding | 93,591 | $0.96 | $89,847 | 2,271,290 | Feb 22, 2024 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 29,577 | $0.96 | $28,394 | 346,443 | Feb 22, 2024 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 5,025 | $1.42 | $7,136 | 376,020 | Feb 7, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Sale | 19,329 | $0.98 | $18,942 | 638,157 | Feb 7, 2024 |
| Michael Gavin Constantine | CEO and President | Tax Withholding | 67,198 | $1.42 | $95,421 | 2,364,881 | Feb 7, 2024 |
| Michael Gavin Constantine | CEO and President | Tax Withholding | 384,734 | $1.39 | $534,780 | 2,432,079 | Jan 25, 2024 |
| D'Annunzio Marc | General Counsel & Secretary | Tax Withholding | 23,193 | $1.39 | $32,238 | 710,127 | Jan 25, 2024 |
| Levy Richard N | — | Sale | 393,125 | $2.56 | $1,006,400 | 2,195,441 | Dec 29, 2023 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 8,923 | $1.84 | $16,418 | 381,045 | Dec 28, 2023 |
| VPC Impact Acquisition Holdings Sponsor, LLC | — | Sale | 360,544 | $2.31 | $832,857 | 2,588,566 | Dec 28, 2023 |
| Levy Richard N | — | Sale | 753,001 | $2.25 | $1,694,252 | 2,949,110 | Dec 27, 2023 |
| Levy Richard N | — | Sale | 237,711 | $2.01 | $477,799 | 3,702,111 | Dec 20, 2023 |
| Levy Richard N | — | Sale | 144,484 | $2.01 | $290,413 | 3,939,822 | Dec 19, 2023 |
| Collins Sean Roberts | — | Sale | 31 | $1.67 | $52 | — | Dec 7, 2023 |
| VPC Impact Acquisition Holdings Sponsor, LLC | — | Sale | 18,763 | $2.05 | $38,464 | 4,084,306 | Dec 6, 2023 |
| Levy Richard N | — | Sale | 40,283 | $2.05 | $82,580 | 4,103,069 | Dec 6, 2023 |
| VPC Impact Acquisition Holdings Sponsor, LLC | — | Sale | 276,898 | $2.05 | $567,641 | 4,143,352 | Dec 5, 2023 |
| VPC Impact Acquisition Holdings Sponsor, LLC | — | Sale | 182,819 | $2.10 | $383,920 | 4,420,250 | Dec 4, 2023 |
| Collins Sean Roberts | — | C | 156,167 | — | — | 156,167 | Nov 16, 2023 |
| Goodroe Charles | Chief Accounting Officer | Tax Withholding | 2,425 | $1.10 | $2,668 | 32,789 | Sep 25, 2023 |
| Alexander Karen | Chief Financial Officer | Tax Withholding | 9,012 | $1.31 | $11,806 | 389,970 | Aug 26, 2023 |
| Levy Richard N | — | Sale | 600 | $1.85 | $1,110 | 4,603,069 | Jul 19, 2023 |
| Levy Richard N | — | Sale | 40,585 | $1.87 | $75,894 | 4,603,669 | Jul 17, 2023 |
| Levy Richard N | — | Sale | 400,000 | $2.07 | $828,000 | 4,644,254 | Jul 14, 2023 |
| Levy Richard N | — | Sale | 400,000 | $1.65 | $660,000 | 5,044,254 | Jul 13, 2023 |
| VPC Impact Acquisition Holdings Sponsor, LLC | — | Sale | 400,000 | $1.57 | $628,000 | 5,444,254 | Jul 12, 2023 |