8-K - BKKT - Equibles

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 6, 2023

Bakkt Holdings, Inc.

(Exact name of registrant as specified in its charter)

Delaware	001-39544	98-1550750
(State or other jurisdiction<br>of incorporation)	(Commission<br><br>File Number)	(IRS Employer<br><br>Identification No.)	10000 Avalon Boulevard, Suite 1000,<br><br>Alpharetta, Georgia	30009
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(Address of principal executive offices)	(Zip Code)

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

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):
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class	Trading Symbol(s)	Name of each exchange<br><br>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

All values are in US Dollars.

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 5.07 Submission of Matters to a Vote of Security Holders.

On June 6, 2023, Bakkt Holdings, Inc. (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). At the Annual Meeting, 37,840,689 shares of the Company’s Class A common stock and 183,279,887 shares of the Company’s Class V common stock, together representing 83.2% of the voting power of all issued and outstanding shares of common stock of the Company as of April 10, 2023, the record date for the Annual Meeting, and constituting a quorum for the transaction of business, were present in person or by proxy and voted on the following three proposals, each of which is described in more detail in the Company’s definitive proxy statement for the Annual Meeting filed with the Securities and Exchange Commission on April 24, 2023.

The stockholders elected the three individuals listed below as directors to serve on the Board of Directors of the Company, each to serve until the 2026 annual meeting of stockholders or until her or his successor is duly elected and qualified or until her or his earlier death, resignation or removal. The voting results were as follows:

Name	Votes For	Votes Withheld	Broker <br>Non-Votes
David Clifton	185,296,602	19,032,743	16,791,231
De'Ana Dow	188,350,912	15,978,433	16,791,231
Gordon Watson	185,300,933	19,028,412	16,791,231

The stockholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023. The voting results were as follows:

Votes For	Votes Against	Abstentions	Broker Non-Votes
219,890,212	909,165	321,199	—

The stockholders approved an amendment to the Company’s 2021 Omnibus Incentive Plan to authorize 26,590,466 additional shares. The voting results were as follows:

Votes For	Votes Against	Abstentions	Broker Non-Votes
184,177,525	20,069,821	81,999	16,791,231

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 9, 2023

BAKKT HOLDINGS, INC.
By:	/s/ Marc D'Annunzio
	Name:	Marc D’Annunzio
	Title:	General Counsel and Secretary