Bakkt Holdings Inc
For the period ended Mar 31, 2024. Filed May 15, 2024.
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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.
Mar 31, 2024 · Filed May 15, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description | Form | File No. | Exhibit | Filing Date |
| 2.1 | Amendment No. 1 To Membership Interest Purchase Agreement, dated as of March 30, 2023, by and among the Company, Bakkt Marketplace, Apex Fintech Solutions Inc. and Apex Crypto, LLC. | 8-K | 001-39544 | 2.2 | April 3, 2023 |
| 3.1 | Certificate of Incorporation of the Company, as currently in effect | 8-K | 001-39544 | 3.1 | October 21, 2021 |
| 3.2 | By-laws of the Company, as currently in effect | 8-K | 001-39544 | 3.1 | October 21, 2021 |
| 3.3 | Certificate of Amendment to Certificate of Incorporation of the Company | 8-K | 001-39544 | 3.1 | April 29, 2024 |
| 4.1 | Registration Rights Agreement, dated as of April 1, 2023, by and between Bakkt Holdings, Inc. and Apex Fintech Solutions Inc. | 8-K | 001-39544 | 4.1 | April 3, 2023 |
| 4.2 | Form of Class 1 Warrant | 8-K | 001-39544 | 4.1 | March 4, 2024 |
| 4.3 | Form of Class 2 Warrant | 8-K | 001-39544 | 4.2 | March 4, 2024 |
| 10.1 | Form of Securities Purchase Agreement, dated as of February 29, 2024, by and among the Company and the purchasers signatory thereto. | 8-K | 001-39544 | 10.1 | March 4, 2024 |
| 10.2 | Form of Securities Purchase Agreement, dated as of February 29, 2024, by and between the Company and Intercontinental Exchange Holdings, Inc. | 8-K | 001-39544 | 10.2 | March 4, 2024 |
| 10.3 | Form of Voting Support Agreement, dated as of February 29, 2024, by and between the Company and Intercontinental Exchange Holdings, Inc. | 8-K | 001-39544 | 10.3 | March 4, 2024 |
| 10.4 | Employment Agreement, dated March 18, 2024, by and between Bakkt Holdings, Inc. and Andrew Main | 8-K | 001-39544 | 10.1 | March 19, 2024 |
| 10.5 | Release Agreement, dated March 18, 2024, by and between Bakkt Holdings, Inc. and Gavin Michael | 8-K | 001-39544 | 10.2 | March 19, 2024 |
| 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.
- Indicates a management contract or compensatory plan or arrangement.
† 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.
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