8-K
false 0001820302 0001820302 2021-10-25 2021-10-25 0001820302 bkkt:Class160ACommonStockParValue0.0001PerShareMember 2021-10-25 2021-10-25 0001820302 us-gaap:WarrantMember 2021-10-25 2021-10-25

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 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) October 25, 2021

 

 

Bakkt Holdings, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-39544   98-1550750

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

10000 Avalon Boulevard, Suite 1000, Alpharetta, Georgia   30009
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code (678) 534-5849

(Former name or former address, if changed since last report.)

 

 

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)

 

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 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading

Symbol(s)

 

Name of each exchange

on which registered

Class A Common Stock, par value $0.0001 per share   BKKT   The New York Stock Exchange
Warrants to purchase Class A Common Stock   BKKT WS   The New York Stock Exchange

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.

 

 

 


Item 7.01 Regulation FD Disclosure.

On October 25, 2021, Bakkt Holdings, Inc. (the “Company”) issued a press release announcing the partnership between the Company and Mastercard for certain product offerings, a copy of which is furnished herewith as Exhibit 99.1. Additionally, on October 25, 2021, Fiserv, Inc. issued a press release announcing the strategic partnership between the Company and Fiserv, Inc. for certain product offerings, a copy of which is furnished herewith as Exhibit 99.2.

The information in this Current Report on Form 8-K and Exhibits 99.1 and 99.2 are being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information or exhibits be deemed incorporated by reference in any filing made by the Company under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

 

Exhibit No.   

Description

99.1    Bakkt Holdings, Inc. Press Release, dated October 25, 2021 (Furnished herewith).
99.2    Fiserv, Inc. Press Release, dated October 25, 2021 (Furnished herewith).
104    Cover Page Interactive Data File (embedded within the Inline XBRL document).


SIGNATURES

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: October 26, 2021

 

BAKKT HOLDINGS, INC.
By:  

/s/ Marc D’Annunzio

  Name: Marc D’Annunzio
  Title:   General Counsel