Bakkt, Inc.
For the period ended Sep 30, 2026. Filed Nov 9, 2026.
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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.
Sep 30, 2026 · Filed Nov 9, 2026
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Other Information
Item 5. Other Information.
(b) None.
(c)Securities Trading Plans of Directors and Executive Officers
During the quarter ended September 30, 2026, the following directors and officers (as defined in Exchange Act Rule 16a-1(f)) adopted certain trading plans intended to satisfy Rule 10b5-1(c)
| Name | Title | Adoption or Termination Date | Plan End Date | Shares Vesting and Subject to Sell-To-Cover | OtherSharesBeing Sold(Subject toCertainConditions) |
|---|---|---|---|---|---|
| Nick Baes | Chief Operating Officer | 8/19/2026 | 7/31/2027 | n/a | 18,577 |
| Marc D'Annunzio | General Counsel & Corporate Secretary | Terminated on: 9/14/2026 | 12/31/2026 | n/a | n/a |
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