D'Annunzio Marc 的 Form 4/A 修正申報
修正Bakkt, Inc.（BKKT），2023/5/2 申報
- 申報編號
- 0001871559-23-000008
- 申報時間
- 2023/5/2
- 交易日
- 2023/4/28
- 申報延遲
- 4 天
- 10b5-1 計畫
- 有勾選
- 原始申報日
- 2023/5/1
這份申報列了 1 筆非衍生性交易。公開市場賣出合計 $6.88 萬。交易後 4 天申報。
這份修正申報取代了 0001871559-23-000006（2023/5/1 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| D'Annunzio MarcCIK 0001871559 | 高階主管（法務長、公司秘書） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/4/28 | Class A Common Stock | S賣出處分 | −50,237 | $1.37F2 | −$68,824.69 | 733,320 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/05/2022.
- F2
Represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $1.35 to $1.40, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
表 I 有 1 筆交易的價格引用這則附註。
- F3
Includes 383,320 shares of Class A Common Stock subject to restricted stock units ("RSUs") awards that remain subject to vesting. Each RSU represents a contingent right to receive one share of the issuer's Class A Common Stock.
- F4
Represents incentive units of Bakkt Management LLC, which units are, subject to certain limitations, redeemable at the request of the reporting person in exchange for the indicated number of common units of Bakkt Opco Holdings, LLC "(Bakkt Opco Units") and an equal number of shares of the issuer's Class V Common Stock.
- F5
Pursuant to the terms of an Amended and Restated Exchange Agreement dated as of May 3, 2022, subject to certain conditions, Bakkt Opco Units together with an equal number of shares of the issuer's Class V Common Stock, are exchangeable by the Reporting Person for shares of the issuer's Class A Common Stock on a one-for-one basis.