Bakkt Holdings, Inc.
For the period ended Jun 30, 2025. Filed Aug 11, 2025.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2025 · Filed Aug 11, 2025
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | By-laws of the Company, as currently in effect | 8-K | 001-39544 | 3.2 | October 21, 2021 |
| 3.2(a) | Certificate of Incorporation of the Company, as currently in effect | 10-K | 001-39544 | 3.1 | October 21, 2021 |
| 3.2(b) | Certificate of Amendment to the Company’s Certificate of Incorporation, dated April 26, 2024 | 10-K | 001-39544 | 3.1 | April 29, 2024 |
| 3.2(c) | Certificate of Amendment to the Company’s Certificate of Incorporation, dated June 17, 2025 | 10-K | 001-39544 | 3.1 | June 17, 2025 |
| 3.2(d) | Certificate of Amendment to the Company’s Certificate of Incorporation, dated June 17, 2025 | 001-39544 | 3.2 | June 17, 2025 | |
| 3.2(e) | Certificate of Amendment to the Company’s Certificate of Incorporation, dated August 7, 2025 | 001-39544 | 3.1 | August 8, 2025 | |
| 4.1 | Convertible Debenture, dated June 18, 2025 | 8-K | 001-39544 | 10.2 | June 18, 2025 |
| 10.1 | Form of Performance Stock Unit Agreement by and between the Company. and Akshay Naheta. | S-8 | 333-286645 | 4.4 | April 18, 2025 |
| 10.2 | Form of Restricted Stock Unit Agreement by and between the Company and Akshay Naheta. | S-8 | 333-286645 | 4.5 | April 18, 2025 |
| 10.3 | Purchase Agreement, dated as of June 17, 2025, between Bakkt Holdings, Inc. and YA II PN, LTD. | 8-K | 001-39544 | 10.1 | June 18, 2025 |
| 10.4 | Global Guaranty Agreement, dated June 17, 2025, by Bakkt Opco Holdings, LLC in favor of YA II PN, LTD | 8-K | 001-39544 | 10.3 | June 18, 2025 |
| 10.5 | Registration Rights Agreement, dated as of June 17, 2025, between Bakkt Holdings, Inc. and YA II PN, LTD | 8-K | 001-39544 | 10.4 | June 18, 2025 |
| 10.6 | Amendment No. 1, dated June 17, 2025, to the Revolving Credit Agreement, between Bakkt Holdings, Inc., Bakkt Opco, the subsidiaries of Bakkt Holdings, Inc. party thereto as guarantors and Intercontinental Exchange Holdings, Inc., as lender. | 8-K | 001-39544 | 10.5 | June 18, 2025 |
| 31.1* | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | ||||
| 31.2* | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | ||||
| 32.1† | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | ||||
| 32.2† | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
|---|---|
| 101.INS* | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104* | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Filed herewith.
† These exhibits are furnished with this Quarterly Report on Form 10-Q and are not deemed filed with the Securities and Exchange Commission and are not incorporated by reference in any filing of Bakkt Holdings, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date hereof and irrespective of any general incorporation language contained in such filings.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.