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) August 8, 2022

 

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 5.02.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Appointment of Chief Financial Officer and Principal Financial Officer

On August 8, 2022, Bakkt Holdings, Inc.’s (the “Company”) board of directors (the “Board”) approved the appointment of Karen Alexander as Chief Financial Officer and Principal Financial Officer, effective immediately. Ms. Alexander has served as the Company’s interim Chief Financial Officer and interim Principal Financial Officer since May 2022. Ms. Alexander’s biography and current compensation information is incorporated by reference as included in the Company’s Form 8-K/A filed with the Commission on June 15, 2022. Ms. Alexander will continue to serve as the Company’s Chief Accounting Officer and Principal Accounting Officer.

There are no arrangements or understandings between Ms. Alexander and any other person pursuant to which Ms. Alexander was appointed to serve as Chief Financial Officer and Principal Financial Officer of the Company. There are no family relationships between Ms. Alexander and any director or executive officer of the Company, and Ms. Alexander does not have any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.

 

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: August 9, 2022