# EDGAR Filing Document

**Accession Number:** 0001820302
**File Stem:** 0001628280-26-045627
**Filing Date:** 2026-6
**Character Count:** 8250
**Document Hash:** 8a6a5e5ca52d8b312be96c4b86516a55
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-26-045627.hdr.sgml**: 20260626

**ACCESSION NUMBER**: 0001628280-26-045627

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20260625

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20260626

**DATE AS OF CHANGE**: 20260625

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Bakkt, Inc.
- **CENTRAL INDEX KEY:** 0001820302
- **STANDARD INDUSTRIAL CLASSIFICATION:** FINANCE SERVICES [6199]
- **ORGANIZATION NAME:** 09 Crypto Assets
- **EIN:** 412324812
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39544
- **FILM NUMBER:** 261123385

**BUSINESS ADDRESS:**
- **STREET 1:** 3280 PEACHTREE RD NE
- **STREET 2:** 7TH FLOOR
- **CITY:** ATLANTA
- **STATE:** GA
- **ZIP:** 30305
- **BUSINESS PHONE:** 332-203-3017

**MAIL ADDRESS:**
- **STREET 1:** 3280 PEACHTREE RD NE
- **STREET 2:** 7TH FLOOR
- **CITY:** ATLANTA
- **STATE:** GA
- **ZIP:** 30305

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Bakkt Holdings, Inc.
- **DATE OF NAME CHANGE:** 20211015

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** VPC Impact Acquisition Holdings
- **DATE OF NAME CHANGE:** 20200805

?xml version='1.0' encoding='ASCII'? bakkt-20260625

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

 

**FORM 8-K**

 

**CURRENT REPORT**

**Pursuant to Section 13 OR 15(d)** 

**of The Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported)**

**June 23, 2026**

 

**Bakkt, Inc.**

**(Exact name of registrant as specified in its charter)**

 

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39544** | **41-2324812** |
| **(State or other jurisdiction<br>of incorporation)** | **(Commission**<br>**File Number)** | **(IRS Employer**<br>**Identification No.)** |

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| | |
|:---|:---|
| **3280 Peachtree Road NE, 7th Floor** <br>**Atlanta, Georgia** | **30305** |
| **(Address of principal executive offices)** | **(Zip Code)** |

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**Registrant's telephone number, including area code: (332) 203-3017**

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| | | | |
|:---|:---|:---|:---|
| Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): | Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): | Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): | Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): |
| ☐ | Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| <br>Securities registered pursuant to Section 12(b) of the Act: | <br>Securities registered pursuant to Section 12(b) of the Act: | <br>Securities registered pursuant to Section 12(b) of the Act: | <br>Securities registered pursuant to Section 12(b) of the Act: |
| **Title of each class** | **Title of each class** | **Trading Symbol(s)** | **Name of each exchange** <br>**on which registered** |
| &nbsp;&nbsp;**Class A Common Stock, par value $0.0001 per share** | &nbsp;&nbsp;**Class A Common Stock, par value $0.0001 per share** | &nbsp;&nbsp;**BKKT** | &nbsp;&nbsp;**The New York Stock Exchange** |
| &nbsp;&nbsp;**Warrants to purchase Class A Common Stock** | &nbsp;&nbsp;**Warrants to purchase Class A Common Stock** | &nbsp;&nbsp;**BKKT WS** | &nbsp;&nbsp;**The New York Stock Exchange** |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ &nbsp;&nbsp;&nbsp;&nbsp;

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**Item 5.07 Submission of Matters to a Vote of Security Holders**

The following proposals were submitted to the stockholders of Bakkt, Inc. (the "Company") at the 2026 Annual Meeting of Stockholders held on June 23, 2026 (the "Annual Meeting"):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• To elect Michael Alfred and Lyn Alden as Class II directors to serve as members of the Company's Board of Directors until the 2029 Annual Meeting of Stockholders or until their successors are duly elected and qualified;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• To approve, on an advisory (non-binding) basis, the compensation of the Company's named executive officers; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• To ratify the selection of Grant Thornton LLC as independent auditors of the Company for the fiscal year ending December 31, 2026.

As of April 24, 2026, the record date for the Annual Meeting, the Company had 30,761,371 shares of its Class A common stock outstanding and entitled to vote. At the Annual Meeting, 18,919,712 shares were present in person or represented by proxy and entitled to vote. No votes were cast during the Annual Meeting. Based on the votes cast by proxy, each proposal passed, including the election of each director. The number of votes cast for and against and the number of abstentions and broker non-votes with respect to each matter voted upon are set forth below:

***Election of Directors***

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| | | | | |
|:---|:---|:---|:---|:---|
| **NAME** | **FOR** | **AGAINST** | **ABSTAIN** | **NON VOTES** |
| Michael Alfred | 12,378,430 | 109,255 |  | 6,432,027 |
| Lyn Alden | 12,156,770 | 330,915 |  | 6,432,027 |

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***Advisory Vote to Approve Executive Compensation*** 

11,321,210 <u>FOR</u> 1,032,093 <u>AGAINST</u> 134,382 <u>ABSTAIN</u> 6,432,027 <u>NON VOTES</u>

***Ratification of Grant Thornton LLC as Independent Auditors of the Company***

18,373,303 <u>FOR</u> 39,530 <u>AGAINST</u> 506,879 <u>ABSTAIN</u> 0 <u>NON VOTES</u>

**Item 9.01 Financial Statements and Exhibits.**

*(d) Exhibits*

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

Dated: June 25, 2026

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| | |
|:---|:---|
| **BAKKT, INC.** | **BAKKT, INC.** |
| By: | /s/ Marc D'Annunzio |
| Name: | Marc D'Annunzio |
| Title: | General Counsel and Secretary |

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